{"id":8263,"date":"2019-05-23T10:36:59","date_gmt":"2019-05-23T14:36:59","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8263"},"modified":"2019-06-05T13:56:55","modified_gmt":"2019-06-05T17:56:55","slug":"finra-bars-registered-individuals-in-may-2019-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-in-may-2019-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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

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

\n

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

\u00a0 Anderson, Andy<\/td>\n\u00a0 ProEquities, Inc.<\/td>\n<\/tr>\n
\u00a0 PFS Investments Inc,<\/td>\n<\/tr>\n
\u00a0 Bishop, Tywan<\/td>\n\u00a0 Charles Schwab & Co, Inc<\/td>\n<\/tr>\n
\u00a0 ETrade Securities LLC<\/td>\n<\/tr>\n
\u00a0 Conrekas, Edward<\/td>\n\u00a0 J.W. Cole Financial, Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Donato, Scott<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Flaningan, Joel<\/td>\n\u00a0 NYLife Securities LLC<\/td>\n<\/tr>\n
\u00a0 Synergy Investment Services LLC<\/td>\n<\/tr>\n
\u00a0 Johnson, Anthony<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Marnelego, Christopher<\/td>\n\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 Merriman Capital, Inc<\/td>\n<\/tr>\n
\u00a0 Ness, Valerie<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Norris, Timothy<\/td>\n\u00a0 BMO Harris Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 HarrisDirect LLC<\/td>\n<\/tr>\n
\u00a0 Vrazel, Patsy<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Worthington, Bruce<\/td>\n\u00a0 Founders Financial Securities LLC<\/td>\n<\/tr>\n
\u00a0 Commonwealth Financial Network<\/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 May 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 Anderson, Andy \u00a0 ProEquities, Inc. \u00a0 PFS […]<\/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-8263","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — May 23, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2019, the following individuals were barred from FINRA and 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