{"id":7985,"date":"2019-04-25T15:02:27","date_gmt":"2019-04-25T19:02:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7985"},"modified":"2019-04-25T15:02:27","modified_gmt":"2019-04-25T19:02:27","slug":"finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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

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

\n

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

\u00a0 Austin, Phillip<\/td>\n\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services<\/td>\n<\/tr>\n
\u00a0 Bishop, Tywan<\/td>\n\u00a0 Charles Schwab & Co<\/td>\n<\/tr>\n
\u00a0 E Trade Securities<\/td>\n<\/tr>\n
\u00a0\u00a0 Delaney, Glen<\/td>\n\u00a0 Newbridge Securities<\/td>\n<\/tr>\n
\u00a0 Craig Scott Capital<\/td>\n<\/tr>\n
\u00a0 Erhart, Peter<\/td>\n\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Company<\/td>\n<\/tr>\n
\u00a0 Hafen, Herbert<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Anubhavm Jain<\/td>\n\u00a0 Goldman Sachs & Co<\/td>\n<\/tr>\n
\u00a0 Deutsche Bank Securities, Inc<\/td>\n<\/tr>\n
\u00a0 O\u2019Neal, Tristan<\/td>\n\u00a0 Northwestern Mutual Investment Services<\/td>\n<\/tr>\n
\u00a0 Owen, Steven<\/td>\n\u00a0 PFS Investments Inc<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 Pico, Marc<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 MML Investors Services<\/td>\n<\/tr>\n
\u00a0 Renison, Thomas<\/td>\n\u00a0 Horace Mann Investors, Inc<\/td>\n<\/tr>\n
\u00a0 Northwestern Mutual Investment Services<\/td>\n<\/tr>\n
\u00a0 Smith, Michael<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 Trotter, Aaron<\/td>\n\u00a0 JP Morgan Securities LLC<\/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 April 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 Austin, Phillip \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-7985","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Individuals Barred in April 2019 for Failing to Comply with 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 barred from FINRA and cannot currently work for a FINRA brokerage — April 25, 2019\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — April 25, 2019\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019","description":"According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — April 25, 2019","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019","twitter_description":"According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — April 25, 2019","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules","datePublished":"2019-04-25T19:02:27+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/"},"wordCount":303,"articleSection":["FINRA Disciplinary Actions"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/","name":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2019-04-25T19:02:27+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage — April 25, 2019","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-april-2019-for-failing-to-comply-with-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7985","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=7985"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7985\/revisions"}],"predecessor-version":[{"id":7986,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7985\/revisions\/7986"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=7985"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=7985"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=7985"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}