According to FINRA Disciplinary actions for April 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 |
| Austin, Phillip | JP Morgan Securities |
| Chase Investment Services | |
| Bishop, Tywan | Charles Schwab & Co |
| E Trade Securities | |
| Delaney, Glen | Newbridge Securities |
| Craig Scott Capital | |
| Erhart, Peter | Ameriprise Financial Services |
| IDS Life Insurance Company | |
| Hafen, Herbert | Wells Fargo Clearing Services |
| Morgan Stanley | |
| Anubhavm Jain | Goldman Sachs & Co |
| Deutsche Bank Securities, Inc | |
| O’Neal, Tristan | Northwestern Mutual Investment Services |
| Owen, Steven | PFS Investments Inc |
| Ameriprise Financial Services | |
| Pico, Marc | LPL Financial LLC |
| MML Investors Services | |
| Renison, Thomas | Horace Mann Investors, Inc |
| Northwestern Mutual Investment Services | |
| Smith, Michael | Farmers Financial Solutions, LLC |
| Trotter, Aaron | JP 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 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.