{"id":8422,"date":"2019-07-01T15:40:33","date_gmt":"2019-07-01T19:40:33","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8422"},"modified":"2019-07-01T15:40:33","modified_gmt":"2019-07-01T19:40:33","slug":"finra-names-individuals-barred-in-june-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-barred-in-june-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Anderzejewski, Bryan<\/td>\n\u00a0 Dean Bradley Osbourne Partners LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co Inc<\/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 Gennity, William<\/td>\n\u00a0 First Standard Financial Company<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, LP<\/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 LaMarca, Charles<\/td>\n\u00a0 Benjamin & Jerold Brokerage I, LLC<\/td>\n<\/tr>\n
\u00a0 Meridian Equity Partners, Inc<\/td>\n<\/tr>\n
\u00a0 Laveck, David<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 MSI Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Won Lee, Kevin<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Maurer, William<\/td>\n\u00a0 Voya Financial Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Nye, Jason<\/td>\n\u00a0 The O.N. Equity Sales Company<\/td>\n<\/tr>\n
\u00a0 UBS Paine Webber Inc.<\/td>\n<\/tr>\n
\u00a0 Sercia, Anthony<\/td>\n\u00a0 Traderfield Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Torres, John<\/td>\n\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Bank<\/td>\n<\/tr>\n
\u00a0 Whiting, David<\/td>\n\u00a0 Alternative Asset Investment Mgmt. Services<\/td>\n<\/tr>\n
\u00a0 HD Vest Investment Services<\/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 June 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 Anderzejewski, Bryan \u00a0 Dean Bradley Osbourne Partners […]<\/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-8422","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 1, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2019, the following individuals were 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