According to FINRA Disciplinary actions for June 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 |
| Anderzejewski, Bryan | Dean Bradley Osbourne Partners LLC |
| Morgan Stanley & Co Inc | |
| Boggs, Marcus | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America | |
| Gennity, William | First Standard Financial Company |
| Alexander Capital, LP | |
| Gomez, Edwin | PFS Investments Inc. |
| Primerica Financial Services | |
| LaMarca, Charles | Benjamin & Jerold Brokerage I, LLC |
| Meridian Equity Partners, Inc | |
| Laveck, David | MML Investors Services, LLC |
| MSI Financial Services, Inc | |
| Won Lee, Kevin | J.P. Morgan Securities LLC |
| AXA Advisors, LLC | |
| Maurer, William | Voya Financial Partners, LLC |
| Nye, Jason | The O.N. Equity Sales Company |
| UBS Paine Webber Inc. | |
| Sercia, Anthony | Traderfield Securities, Inc. |
| Legend Securities, Inc | |
| Torres, John | JP Morgan Securities LLC |
| Wells Fargo Bank | |
| Whiting, David | Alternative Asset Investment Mgmt. Services |
| HD Vest Investment Services |
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.