{"id":7951,"date":"2019-04-19T08:33:56","date_gmt":"2019-04-19T12:33:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7951"},"modified":"2019-04-19T08:40:31","modified_gmt":"2019-04-19T12:40:31","slug":"finras-march-2019-disciplinary-actions-name-individuals-barred-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finras-march-2019-disciplinary-actions-name-individuals-barred-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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

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

\n

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

\u00a0 Alfaro, Jennifer<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Austin, Aaron<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 M & T Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Conner, Youn<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Das, Anukul<\/td>\n\u00a0 NYLife Securities<\/td>\n<\/tr>\n
\u00a0 Nayeli, Rosalba<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo<\/td>\n<\/tr>\n
\u00a0 Ferraro, Andrew<\/td>\n\u00a0 State Farm VP Mgmt Group<\/td>\n<\/tr>\n
\u00a0 Chris Ferraro Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Fidelman, Peter<\/td>\n\u00a0 Bradley Woods & Co<\/td>\n<\/tr>\n
\u00a0 Griffen Securities Inc<\/td>\n<\/tr>\n
\u00a0 Gaston, Frantz<\/td>\n\u00a0 State Farm VP Mgmt<\/td>\n<\/tr>\n
\u00a0 Frantz Gaston Jr. Insurance Agency<\/td>\n<\/tr>\n
\u00a0 Guillory, Michael<\/td>\n\u00a0 Financial West Group<\/td>\n<\/tr>\n
\u00a0 The Shemano Group, Inc<\/td>\n<\/tr>\n
\u00a0 Hamm, Brandon<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Hartigan, John<\/td>\n\u00a0 Entrustpermal Securities LLC<\/td>\n<\/tr>\n
\u00a0 Calyon Financial Inc<\/td>\n<\/tr>\n
\u00a0 Jones, Marques<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0 Merlo, Robert<\/td>\n\u00a0 Allstate Financial Services<\/td>\n<\/tr>\n
\u00a0 Pruco Securities<\/td>\n<\/tr>\n
\u00a0 Norris, Timothy<\/td>\n\u00a0 BMO Harris Financial Advisors<\/td>\n<\/tr>\n
\u00a0 HarrisDirect LLC<\/td>\n<\/tr>\n
\u00a0 Olsen, Eric<\/td>\n\u00a0 NYLIfe Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wellsfargo<\/td>\n<\/tr>\n
\u00a0 Perez, Paul<\/td>\n\u00a0 Investcorp, Inc<\/td>\n<\/tr>\n
\u00a0 Fintegra LLC<\/td>\n<\/tr>\n
\u00a0 Sullivan, Daniel Erich<\/td>\n\u00a0 Wunderlich Securities<\/td>\n<\/tr>\n
\u00a0 Chapdelaine & Co<\/td>\n<\/tr>\n
\u00a0 Uribe, Juan<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wilson, Vance<\/td>\n\u00a0 Wells Fargo Clearing Serices<\/td>\n<\/tr>\n
\u00a0 Fidelity Brokerage Services<\/td>\n<\/tr>\n
\u00a0 Witt, Robert<\/td>\n\u00a0 Voya Financial Adisors<\/td>\n<\/tr>\n
\u00a0 ING Financial Partners<\/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

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

According to FINRA Disciplinary actions for March 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 Alfaro, Jennifer \u00a0 JP Morgan Securities \u00a0 […]<\/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-7951","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA's March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 19, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2019, the following 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