According to FINRA Disciplinary actions for October 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 |
| Bender, Charles | Suntrust Investment Services, Inc |
| JP Morgan Securities | |
| Bingham, Daniel | Essex Securities |
| Investors Capital Corp | |
| Devaney, Patrick | Financial West Group |
| American P3 Capital | |
| Diehlman, Kurt | Investacorp, Inc |
| Schneider Securities | |
| Dunbarm Clinton | Union Capital Company |
| IFS Securities | |
| Frank, Charles | NY Life Securities |
| MWA Sinancial Services | |
| Gallacher, David | LPL Financial |
| AG Edwards & Sons | |
| Goebel, Kyle | |
| Gonzalez, Fernando | PNC Investments |
| Merrill Lunch, Pierce, Fenner & Smith Inc | |
| Gruenberg, Myron | Quest Capital Strategies |
| Harris, Adrianna | Charles Schwab |
| Hose, Audrey | UBS Financial Services |
| Montchal, Raymond | Morgan Stanley |
| Citigroup Global Markets | |
| Neuedorf, Robert | David Lerner Associates |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Wernig, Charles III | Voya Financial Advisors |
| Kestra Investment Services, LLC | |
| Zhang, Xiangyu | Wells Fargo Clearing Services |
| LPL Financial 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.