According to FINRA Disciplinary actions for March 2020, 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 |
| Michael Bressman | FCG Advisors, LLC |
| Mary Ann Dineen | UBS Financial Services Inc. |
| David Fagenson | Newbridge Securities Corporation |
| UBS Financial Services Inc. | |
| Mark Figueroa | Spartan Capital Securities, LLC |
| Arive Capital Markets | |
| Karen Kopatz | Raymond James & Associates, Inc. |
| Morgan Keegan & Company, Inc. | |
| Jordan Rodriguez | NYLife Securities LLC |
| Frederick Stow | Raymond James & Associates, Inc. |
| Wells Fargo Advisors, LLC | |
| Mark Wetherell | Kovack Securities Inc. |
| Invest Financial Corporation | |
| Marcus Wright | Farmers Financial Solutions, LLC |
| J.P. Morgan Securities 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 (800)-975-4345 or e-mail ssilver@silverlaw.com 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.