FINRA Disciplinary Actions For February 2020 Names Registered Individuals Barred For Failure To Provide Information

According to FINRA Disciplinary actions for February 2020, 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
DiLiberto, Jesse	Fidelity Brokerage Services
	Wilmington Capital Securities, LLC
Fry, Stephen	Woodbury Financial Services, Inc
	H.D. Vest Investment Services
Johnson, Timothy Jr.	MML Investors Services, LLC
	Suntrust Investment Services, Inc
Mannera, Samuel	Wells Fargo Clearing Services, LLC
	Merrill Lynch, Pierce, Fenner & Smith, Inc.
Karney, Amogh
McGuire, Jesse	JP Morgan Securities LLC
	Chase Investment Services Corp.
Mostert, John	Quest Capital Strategies, Inc
	Intersecurities, Inc.
Murray, Robert	SW Financial
	Joseph Stone Capital LLC
Oplinger, Todd	IFS Securities
	Ridgeway & Conger, Inc
Rangel, Jesse	TD Ameritrade, Inc
	Morgan Stanley
Stokes, Dain	LPL Financial LLC
	Edward Jones
Thrush, Steven	Summit Brokerage Services, Inc
	Cambridge Investment Research, Inc
Washington, Robert

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.