Securities Arbitration Lawyers BlogFINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
According to FINRA Disciplinary actions for December 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 |
| Bartley, Jevon | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America | |
| Cross, Anita | |
| Gasser, Robert | Barclays Capital Inc |
| ITG Derivatives LLC | |
| Gonzales, Edward | Edward Jones |
| Horton, David | Ameriprise Financial Services, Inc |
| IDS Life Insurance Company | |
| Mazza, Vincent | National Securities Corporation |
| Kovak Securities Inc. | |
| Muraya, Benson | |
| Murrain, Merle II | |
| Roegiers, Anthony | Pruco Securities |
| AXA Advisors, LLC | |
| Sperring, Donald Jr. | AXA Advisors, LLC |
| The Equitable Life Assurance Society of the US | |
| Su, Zachary | J.P. Morgan Securities LLC |
| World Financial Group | |
| Williams, Minjoe | Wells Fargo Clearing Services, LLC |
| National Securities Corporation | |
| Wright, Tiana | Northwestern Mutual Investment Services 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.