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

According to FINRA Disciplinary actions for November 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
Acree, Sandra	Fidelity Services LLC
Ader, Debra
Baker, Andrew	Suntrust Investment Services, Inc
	Wells Fargo Advisors, LLC
Bermingham, Reed	Commonwealth Financial Network
	Manning Wealth Management
Brackett, Michael	Sterne Agee Financial Services, Inc
	Transamerica Financial Advisors, Inc
Childs, Margareta	Western Financial Securities
	Financial West Group
Chinn, Pete	HD Vest Investment Securities, Inc
	Pete Chinn Accountancy Corp
Credle, Eric	Pruco Securities, LLC
	Prudential Insurance Co
Dreesm David	Ameriprise Financial Services
Edwards, George	Edward Jones
	Cetera Investment Services LLC
Harris, Jason	Edward Jones
Lowery, Jack Jr.	Ameriprise Financial Services
	NBC Securities, Inc
Pullin, Oivia
Ryan, Stephen	MML Investors Services, LLC
	NYLife Securities LLC
Sears, Vernon Jr.	Wells Fargo Clearing Services, LLC
	Raymond James & Associates, Inc
Soliman, Fadi	IBN Financial Services, Inc
	Ameriprise Financial Services, Inc.

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.