{"id":8474,"date":"2019-08-06T11:52:36","date_gmt":"2019-08-06T15:52:36","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8474"},"modified":"2019-08-06T11:52:36","modified_gmt":"2019-08-06T15:52:36","slug":"registered-individuals-suspended-by-finra-in-july-2019-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-by-finra-in-july-2019-for-violations-of-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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\n\n
\n

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

\n

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

\u00a0 Bender, Charles III<\/td>\n\u00a0 <\/em>Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Bingham, Daniel<\/td>\n\u00a0 Essex Securities LLC<\/td>\n<\/tr>\n
\u00a0 Investors Capital<\/td>\n<\/tr>\n
\u00a0 Diehlman, Kurt<\/td>\n\u00a0 Investacorp, Inc<\/td>\n<\/tr>\n
\u00a0 Schneider Securities, Inc<\/td>\n<\/tr>\n
\u00a0 D\u2019Meo, James<\/td>\n\u00a0 Kenneth, Jerome & Co, Inc<\/td>\n<\/tr>\n
\u00a0 Equity Services, Inc<\/td>\n<\/tr>\n
\u00a0 Gallacher, David<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 AG Edwards & Sons Inc<\/td>\n<\/tr>\n
\u00a0 Giraldo, Jose<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 David Lerner Associates<\/td>\n<\/tr>\n
\u00a0 Goebel, Kyle<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Gonzalez, Fernando<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Gurrola, Kenneth<\/td>\n\u00a0 Muriel Siebert & Co., Inc<\/td>\n<\/tr>\n
\u00a0 Kaufman Bros, LP<\/td>\n<\/tr>\n
\u00a0 Harris, Adrianna<\/td>\n\u00a0 Charles Schwab & Co., Inc<\/td>\n<\/tr>\n
\u00a0 Hose, Audrey<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Knowles, Jeffrey<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Laishes, Brian<\/td>\n\u00a0 Investacorp, Inc<\/td>\n<\/tr>\n
\u00a0 Commonwealth Financial Network<\/td>\n<\/tr>\n
\u00a0 May, Timothy<\/td>\n\u00a0 One America Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Signator Investors, Inc<\/td>\n<\/tr>\n
\u00a0 Noto, Philip<\/td>\n\u00a0 First Standard Financial Company<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, LP<\/td>\n<\/tr>\n
\u00a0 Saljooki, Yousuf<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Scarfone, Bryce<\/td>\n\u00a0 HSBC Securities<\/td>\n<\/tr>\n
\u00a0 Siegel, Craig<\/td>\n\u00a0 Portfolio Advisors Alliance, LLC<\/td>\n<\/tr>\n
\u00a0 John Thomas Financial<\/td>\n<\/tr>\n
\u00a0 Roger Takami<\/td>\n\u00a0 Voya Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 LPL Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Thurman, Purnell<\/td>\n\u00a0 Park Avenue Securities LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0\u00a0Wernig, Charles III<\/td>\n\u00a0 Voya Financial Advisors, Inc<\/td>\n<\/tr>\n
\u00a0 Kestra Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Zhang, Xtangyu<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/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 July 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 Bender, Charles III \u00a0 Suntrust Investment Services, […]<\/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-8474","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in July 2019 for Violations of 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 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