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.