According to FINRA Disciplinary actions for July 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 |
| Fernando Enrique Acosta | |
| Paul Anthony Bustamante | Empire Asset Management Company |
| Bishop, Rosen & Co, Inc | |
| Janna L. Carruth-Vogler | |
| Xavier Dwight Clinton | J.P. Morgan Securities LLC |
| Massachusetts Mutual Life Ins Co | |
| Thomas Matthew Dunlap | AXA Advisors LLC |
| Saima Ashraf Durrani | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Joshua David Ellis | LPL Financial LLC |
| BCG Securities, Inc | |
| James Benjamin Farris | Merrill Lynch, Pierce, Fenner & Smith Inc |
| UBS Financial Services Inc | |
| Samuel LaWayne Haddix | Ameriprise Financial Services, Inc |
| IDS Life Insurance Company | |
| Mark Anthony Hernandez | UBS Financial Services Inc |
| Morgan Stanley | |
| Christopher Lee Hibbard | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Abed William Lulu | Worden Capital Management LLC |
| Rockwell Global Capital LLC | |
| Michael Ray Matos | J.P. Morgan Securities LLC |
| Michael Patrick Nanto | J.P. Morgan Securities LLC |
| Mutual of Omaha Investor Services, Inc. | |
| Albert John Papada | Horace Mann Investors, Inc |
| Zachary T. Rawson | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America, NA | |
| Anteneh A. Roberts | Merrill Lynch, Pierce, Fenner & Smith Inc |
| PNC Investments | |
| Jeanette Maria Sanchez |
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.