According to FINRA Disciplinary actions for November 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 |
| Denise Canez | |
| James Flynn | IFS Securities |
| Voya Financial Advisors, Inc | |
| Glenn Grosek | Citizens Securities, Inc |
| Pruco Securities, LLC | |
| Phillip Johnson | D.H. Hill Securities, LLP |
| Suntrust Investment Services, Inc | |
| Lloyd Johnston | Capital Financial Services, Inc |
| BP&J / LLC | |
| Robin Lomont | |
| Bradley Pace | LPL Financial LLC |
| A.J. Pace & Co, Inc | |
| Damian Serret | PFS Investments Inc |
| James Ward | Northwestern Mutual Investment Services, LLC |
| Stephen Yaworsky | Raymond James Financial Services, Inc |
| Bancwest Investment Services, Inc. |
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.