{"id":8471,"date":"2019-08-06T11:49:38","date_gmt":"2019-08-06T15:49:38","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8471"},"modified":"2019-08-06T11:49:38","modified_gmt":"2019-08-06T15:49:38","slug":"finra-bars-registered-individuals-in-july-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-registered-individuals-in-july-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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

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

\n

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

\u00a0 Bang, Gregory<\/td>\n\u00a0 NYLIfe Securities LLC<\/td>\n<\/tr>\n
\u00a0 Block, Gabriel<\/td>\n\u00a0 First Standard Financial Company<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Cardwell, Harlan III<\/td>\n\u00a0 Prospera Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Oxford Financial Group<\/td>\n<\/tr>\n
\u00a0 Duchan, Patricia<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Golan, Rafael<\/td>\n\u00a0 Crystal Bay Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Kane, Jordan<\/td>\n\u00a0 Citizens Securities, Inc<\/td>\n<\/tr>\n
\u00a0\u00a0Martinez, Joseph<\/td>\n\u00a0 Pruco Securities, LLC<\/td>\n<\/tr>\n
\u00a0 The Prudential Insurance Company of America<\/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 Weldon, Benjamin<\/td>\n\u00a0 State Farm VP Management Corp<\/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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for July 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 Bang, Gregory \u00a0 NYLIfe Securities LLC \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-8471","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — August 6, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2019, the following individuals were barred 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