FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information

According to FINRA Disciplinary actions for August 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
Carolyn Andrews	UBS Financial Services
	Morgan Keegan & Company
Meiewyn Avent	Alliance-One Investments
	Metlife Investors Distribution Co
Robert Corley	Fidelity Brokerage Services
	Redstone Securities
Jennifer Margaret
Francisco Garcia	Park Avenue Securities
	EQ Financial Consultants
Sparkle Griffen	UBS Financial Services
	Merrill Lynch, Pierce, Fenner & Smith
Robert High II	First National Equity  Corp
	Chase Investment Services
Richard LaBare	Union Capital Company
	Morgan Stanley & Co Inc
Arnold Mariampolski	AXA Advisors
Robert Powers	Emerging Growth Equities
	Roth Capital Partners
Brandon Yasso	JP Morgan Securities

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.