{"id":7941,"date":"2019-04-12T11:25:11","date_gmt":"2019-04-12T15:25:11","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7941"},"modified":"2019-06-07T16:21:18","modified_gmt":"2019-06-07T20:21:18","slug":"in-february-2019-finra-bars-registered-individuals-due-to-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-february-2019-finra-bars-registered-individuals-due-to-violations-of-finra-rules\/","title":{"rendered":"In February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
\n

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Arizmendi, Jose<\/td>\n\u00a0 Silber Bennett Financial, Inc<\/td>\n<\/tr>\n
\u00a0 TCFG Wealth Management, LLC<\/td>\n<\/tr>\n
\u00a0 Barrick, Tabor<\/td>\n\u00a0 FBL Marketing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Bogdan, David<\/td>\n\u00a0 Fidelity Brokerage<\/td>\n<\/tr>\n
\u00a0 Conklin, Jeffrey<\/td>\n\u00a0 The Huntington Investment Company<\/td>\n<\/tr>\n
\u00a0 Huntington National Bank<\/td>\n<\/tr>\n
\u00a0 Crocker, Sierra<\/td>\n\u00a0 Voya Financial Partners<\/td>\n<\/tr>\n
\u00a0 Suntrust Bank<\/td>\n<\/tr>\n
\u00a0 Gaston, Frantz<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Frantz Gaston Jr. Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Peter Gomez<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 New York Life Insurance Co<\/td>\n<\/tr>\n
\u00a0 Harris, Dionna<\/td>\n\u00a0 Vanguard Marketing Corporation<\/td>\n<\/tr>\n
\u00a0 Henry, Omar<\/td>\n\u00a0 Cetera Advisors LLC<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 King, Erin<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Bank<\/td>\n<\/tr>\n
\u00a0 Lin, Linda<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Lossing, Christopher<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 McNeill, Randolph<\/td>\n\u00a0 Buckman, Buckman & Reid, Inc<\/td>\n<\/tr>\n
\u00a0 Garden State Securities<\/td>\n<\/tr>\n
\u00a0 Minichino, Richard<\/td>\n\u00a0 Next Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Wunderlich Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Nicholl, Timothy<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Onu, Isaac<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Peskar, Denise<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Co of America<\/td>\n<\/tr>\n
\u00a0 Schwede, Jaime<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Simon, Justin<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Country Capital Management Co<\/td>\n<\/tr>\n
\u00a0 Sredich, Kimberly<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Stephens, Dudley<\/td>\n\u00a0 Coastal Equities, Inc<\/td>\n<\/tr>\n
\u00a0 Prospera Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Strawn, Brandon<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Tinsley, Sean<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Trussell, Derrick<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Vailiancourt Jr., Peter<\/td>\n\u00a0 Fidelity Brokerage Services LLC<\/td>\n<\/tr>\n
\u00a0 Wood, Daniel<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Wright, Bryan<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Company of America<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.\u00a0 If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.<\/p>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct<\/a>.\u00a0 If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.<\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS \u00a0 Arizmendi, Jose \u00a0 Silber Bennett Financial, Inc […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-7941","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules — Securities Arbitration Lawyers Blog — April 12, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2019, the following individuals 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