According to FINRA Disciplinary actions for October 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 |
| Lindsey Brown | |
| William Downing | Coastal Equities, Inc |
| J. W. Cole Financial, Inc | |
| Keven Gayle | NYLife Securities LLC |
| Jose Giraldo | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America NA | |
| Cristhelle Medina | J.P. Morgan Securities LLC |
| Well Fargo Advisors, LLC | |
| Stephen Murray | Raymond James & Associates, Inc |
| Morgan Keegan & Company, Inc | |
| Ivan Reyes | Alexander Capital, L.P. |
| Craft Capital Management LLC | |
| David Rodgers | Allstate Financial Services, LLC |
| Rodgers Capital Management | |
| Michael Sekusky | |
| Jimmy Tran | J.P. Morgan Securities LLC |
| Wells Fargo Advisors, LLC | |
| Anthony Valois | PHX Financial, Inc |
| Meyers Associates, L.P. |
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.