{"id":7983,"date":"2019-04-25T14:59:20","date_gmt":"2019-04-25T18:59:20","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7983"},"modified":"2019-04-25T14:59:20","modified_gmt":"2019-04-25T18:59:20","slug":"in-april-2019-finra-suspends-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-april-2019-finra-suspends-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 2019, the following individuals were suspended 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

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

\n

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

\u00a0 Acca, Lisa<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Boggs, Marcus<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America<\/td>\n<\/tr>\n
\u00a0\u00a0Bougopoulos, Nicholas<\/td>\n\u00a0 Wells Fargo Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel Financial Corp<\/td>\n<\/tr>\n
\u00a0 Cardwell, Harlan<\/td>\n\u00a0 Prospera Financial Services<\/td>\n<\/tr>\n
\u00a0 Oxford Financial Group<\/td>\n<\/tr>\n
\u00a0 Cash, Robert<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Golan, Rafael<\/td>\n\u00a0 Crystal Bay Securities<\/td>\n<\/tr>\n
\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Gomez, Edwin<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Primerica Financial Services<\/td>\n<\/tr>\n
\u00a0 Irazarry, Melissa<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Knowles, Jeffrey<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 LaMarca, Charles<\/td>\n\u00a0 Benjamin & Jerold Brokerage I, LLC<\/td>\n<\/tr>\n
\u00a0 Meridian Equity Partners, Inc<\/td>\n<\/tr>\n
\u00a0 Lastrapes, Lisa<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 USAA Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 Laveck, David<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 MSI Financial Services<\/td>\n<\/tr>\n
\u00a0 Lee, Kevin<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 William Maurer<\/td>\n\u00a0 Voya Financial Partners<\/td>\n<\/tr>\n
\u00a0 Nye, Jason<\/td>\n\u00a0 The O.N. Equity Sales Company<\/td>\n<\/tr>\n
\u00a0 UBS Painewebber Inc<\/td>\n<\/tr>\n
\u00a0 Sercia, Anthony<\/td>\n\u00a0 Traderfield Securities Inc<\/td>\n<\/tr>\n
\u00a0 Legend Securities<\/td>\n<\/tr>\n
\u00a0 Soto, Rani<\/td>\n\u00a0 Prudential Investment Management<\/td>\n<\/tr>\n
\u00a0 AllianceBernstein Investments<\/td>\n<\/tr>\n
\u00a0 Stanley, Cornell Jr.<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 Tarica, Perry Jr.<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 A. G. Edwards & Sons, Inc<\/td>\n<\/tr>\n
\u00a0 Torres, John<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for April 2019, the following individuals were suspended 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 Acca, Lisa \u00a0 Arive Capital Markets \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-7983","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2019, the following individuals were suspended 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