Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for November 2018, 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 |
| Jose Arizmendi | Silber Bennett Financial, Inc |
| TCFG Wealth Management, LLC | |
| Tani Balas | SCF Securities, Inc |
| Klopp Agency | |
| Mauricio Borja | Allstate Financial Services, LLCX |
| Brian Coffey | National Financial Services LLC |
| Fidelity Brokerage Services LLC | |
| Rita Dulya | Kovack Securities Inc. |
| Pro-Integrity Securities, Inc | |
| Makiaha Evans | |
| Brendan Feitelberg | United Planners’ Financial Services of America |
| LPL Financial LLC | |
| Edgar Guzman-Gonzalez | JP Morgan Securities LLC |
| Mario Jimenez | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America, N. A. | |
| Frantz Justafort | JP Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Linda Lin | |
| Nicholas Maddox | TCFG Wealth Management, LLC |
| U.S. Bancorp Investments, Inc. | |
| Gustavo Madrigal-Flores | J.P. Morgan Securities LLC |
| Virginia Nichols | LPL Financial LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Jeffrey Offen | Craft Capital Management LLC |
| Salomon Whitney Financial | |
| Issac Onu | NY Life Securities LLC |
| Wells Fargo Advisors, LLC | |
| Michael Resciniti | Spartan Capital Securities, LLC |
| First Standard Financial Company LLC | |
| Mark Sachse | Ameriprise Financial Services, Inc. |
| Robert W. Baird & Co Inc. | |
| James Schwede | |
| Zachary Sherry Jr. | NYLIfe Securities LLC |
| Christopher Simonds | Edward Jones |
| Kimberly Sredich | |
| Dudley Stephens | Coastal Equilites, Inc |
| Prospera Financial Services, Inc | |
| Divanna Tejeda | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Derrick Trussell | PFS Investments Inc. |
| Primerica Financial Services | |
| Rick Walker | Morgan Stanley |
| Citigoup Global Markets Inc | |
| James Walters II | Edward Jones |
| Mohamed Yassin | National Securities Corporation |
| Morgan Stanley |
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. 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. 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.