According to FINRA Disciplinary actions for September 2018, 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 |
| Mona Ali | JP Morgan Securities LLC |
| JP Morgan Chase Bank | |
| Bobbie Jo Besler | Farmers Financial Solutions |
| State Farm VP Mgmt Corp | |
| Jeffrey Cederberg | Primex |
| Capwest Securities, Inc | |
| Vincente Davila | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Alan Garett | Fidelity Brokerage Services LLC |
| Ramon Herrera | Wells Fargo Clearing Services, LLC |
| Mandee Khu | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| John Maccoll | UBS Financial Services Inc |
| Morgan Stanley DW Inc. | |
| Felipe Munive | Allstate Financial Services, LLC |
| Gordan Nitka | MML Investor Services, LLC |
| MassMutual Life Insurance Co | |
| Daniel Ochao | Farmers Financial Solutions, LLC |
| George Oldoerp | H Beck, Inc. |
| Diversified Securities, Inc | |
| Mary Olsen | |
| Paul Prestia | Laidlaw & Company LTD |
| Network 1 Financial Securities Inc. | |
| David Taylor | Lincoln Financial Securities Corp |
| Christopher Threet | JP Morgan Securities LLC |
| Capital One Bank |
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.