FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules

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:

NAME	FORMER EMPLOYERS
Bender, Charles	Suntrust Investment Services, Inc
	JP Morgan Securities
Bingham, Daniel	Essex Securities
	Investors Capital Corp
Devaney, Patrick	Financial West Group
	American P3 Capital
Diehlman, Kurt	Investacorp, Inc
	Schneider Securities
Dunbarm Clinton	Union Capital Company
	IFS Securities
Frank, Charles	NY Life Securities
	MWA Sinancial Services
Gallacher, David	LPL Financial
	AG Edwards & Sons
Goebel, Kyle
Gonzalez, Fernando	PNC Investments
	Merrill Lunch, Pierce, Fenner & Smith Inc
Gruenberg, Myron	Quest Capital Strategies
Harris, Adrianna	Charles Schwab
Hose, Audrey	UBS Financial Services
Montchal, Raymond	Morgan Stanley
	Citigroup Global Markets
Neuedorf, Robert	David Lerner Associates
	Merrill Lynch, Pierce, Fenner & Smith Inc
Wernig, Charles III	Voya Financial Advisors
	Kestra Investment Services, LLC
Zhang, Xiangyu	Wells Fargo Clearing Services
	LPL Financial LLC

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. 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.

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.