Securities Arbitration Lawyers BlogFINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended 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 |
| Sandra Acree | Fidelity Brokerage Services |
| Andrew Baker | Suntrust Investment Services |
| Wells Fargo Advisors | |
| William Cannon | Lifemark Securities Corp |
| Fortune Financial Services | |
| Patrick Devaney II | Financial West Group |
| Sanford Roberts, Inc | |
| James D’Meo | Kenneth Jerome & Co |
| Equity Services, Inc | |
| David Drees | American Financial Services |
| Clinton Dunbar | Union Capital Company |
| IFS Securities | |
| George Edwards | Edward Jones |
| Cetera Investment Services | |
| Charles Frank | NYLife Securities |
| MWA Financial Services | |
| Jack Lowrey Jr. | Ameriprise Financial Services |
| NBC Securities | |
| Jeffrey Lundstrom | Signator Investors, Inc |
| Transamerica Financial Advisors | |
| Uriah Mitchell | JP Morgan Securities |
| Raymond Montchal | Morgan Stanley |
| Citigroup Global Markets | |
| Robert Neuedorf | David Lerner Associates |
| Merrill Lynch, Pierce, Fenner & Smith |
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.