FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for September 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
Mona Ali	JP Morgan Securities LLC
	JP Morgan Chase Bank
Bobbie Jo Besler	Farmers Financial Solutions
	State Farm VP Mgmt Corp
Jeffrey Cederberg	Primex
	Capwest Securities, Inc
Vincente Davila	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc.
Alan Garett	Fidelity Brokerage Services LLC
Ramon Herrera	Wells Fargo Clearing Services, LLC
Mandee Khu	JP Morgan Securities LLC
	Chase Investment Services Corp
John Maccoll	UBS Financial Services Inc
	Morgan Stanley DW Inc.
Felipe Munive	Allstate Financial Services, LLC
Gordan Nitka	MML Investor Services, LLC
	MassMutual Life Insurance Co
Daniel Ochao	Farmers Financial Solutions, LLC
George Oldoerp	H Beck, Inc.
	Diversified Securities, Inc
Mary Olsen
Paul Prestia	Laidlaw & Company LTD
	Network 1 Financial Securities Inc.
David Taylor	Lincoln Financial Securities Corp
Christopher Threet	JP Morgan Securities LLC
	Capital One Bank

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.