{"id":8630,"date":"2019-11-26T09:50:46","date_gmt":"2019-11-26T14:50:46","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8630"},"modified":"2019-11-26T10:26:20","modified_gmt":"2019-11-26T15:26:20","slug":"october-2019-finra-disciplinary-actions","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/","title":{"rendered":"FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Bender, Charles<\/td>\n\u00a0 Suntrust Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Bingham, Daniel<\/td>\n\u00a0 Essex Securities<\/td>\n<\/tr>\n
\u00a0 Investors Capital Corp<\/td>\n<\/tr>\n
\u00a0 Devaney, Patrick<\/td>\n\u00a0 Financial West Group<\/td>\n<\/tr>\n
\u00a0 American P3 Capital<\/td>\n<\/tr>\n
\u00a0 Diehlman, Kurt<\/td>\n\u00a0 Investacorp, Inc<\/td>\n<\/tr>\n
\u00a0 Schneider Securities<\/td>\n<\/tr>\n
\u00a0 Dunbarm Clinton<\/td>\n\u00a0 Union Capital Company<\/td>\n<\/tr>\n
\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Frank, Charles<\/td>\n\u00a0 NY Life Securities<\/td>\n<\/tr>\n
\u00a0 MWA Sinancial Services<\/td>\n<\/tr>\n
\u00a0 Gallacher, David<\/td>\n\u00a0 LPL Financial<\/td>\n<\/tr>\n
\u00a0 AG Edwards & Sons<\/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 Lunch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Gruenberg, Myron<\/td>\n\u00a0 Quest Capital Strategies<\/td>\n<\/tr>\n
\u00a0 Harris, Adrianna<\/td>\n\u00a0 Charles Schwab<\/td>\n<\/tr>\n
\u00a0 Hose, Audrey<\/td>\n\u00a0 UBS Financial Services<\/td>\n<\/tr>\n
\u00a0 Montchal, Raymond<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets<\/td>\n<\/tr>\n
\u00a0 Neuedorf, Robert<\/td>\n\u00a0 David Lerner Associates<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Wernig, Charles III<\/td>\n\u00a0 Voya Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Kestra Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Zhang, Xiangyu<\/td>\n\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for October 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","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8630","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Disciplinary Actions For October 2019 Name Individuals Barred<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2019, the following individuals were barred and cannot currently work for a FINRA brokerage firm.\" \/>\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\/october-2019-finra-disciplinary-actions\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Disciplinary Actions For October 2019 Name Individuals Barred\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for October 2019, the following individuals were barred and cannot currently work for a FINRA brokerage firm.\" \/>\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=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Disciplinary Actions For October 2019 Name Individuals Barred","description":"According to FINRA Disciplinary actions for October 2019, the following individuals were barred and cannot currently work for a FINRA brokerage firm.","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\/october-2019-finra-disciplinary-actions\/","twitter_card":"summary_large_image","twitter_title":"FINRA Disciplinary Actions For October 2019 Name Individuals Barred","twitter_description":"According to FINRA Disciplinary actions for October 2019, the following individuals were barred and cannot currently work for a FINRA brokerage firm.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/","url":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/","name":"FINRA Disciplinary Actions For October 2019 Name Individuals Barred","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2019-11-26T14:50:46+00:00","dateModified":"2019-11-26T15:26:20+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for October 2019, the following individuals were barred and cannot currently work for a FINRA brokerage firm.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/october-2019-finra-disciplinary-actions\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of 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:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","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\/8630","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=8630"}],"version-history":[{"count":5,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/8630\/revisions"}],"predecessor-version":[{"id":8646,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/8630\/revisions\/8646"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=8630"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=8630"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=8630"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}