FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for January 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
Balas, Tami	SCF Securities, Inc
	Klopp Agency
Bustamante, Ricardo	JP Morgan Securities LLC
	Bustamante Family Legacy, LLC
Coffey, Brian	National Financial Services LLC
	Fidelity Broker Services LLC
Dulya, Rita	Kovak Securities Inc.
	Pro-Integrity Securities
Evans, Makisha
Feitelnerg, Brendan	United Planners Financial Services
	LPL Financial LLC
Jimenez, Mario	Merrill Lynch, Pierce, Fenner & Smith Inc
	Bank of America
Justafort, Frantz	JP Morgan Securities LLC
	Chase Investment Services
Maddox, Nicholas	TCFG Wealth Management LLC
	US Bancorp Investments
Gustavo Madrigal-Flores	JP Morgan Securities
Miozzi, Scott	NYLife Securities LLC
Newbanks, Scott	KMS Financial Services, Inc
	United Planners Financial Services
Nichols, Viginia	LPL Financial LLC
	Merrill Lynch, Pierce, Fenner & Smith Inc
Resciniti, Michael	Spartan Capital Securities, LLC
	First Standard Financial Company
Sherry Jr., Zachary	NYLife Securities LLC
	NY Life Insurance Co
Simonds, Christopher	Edward Jones
	Local Property LLC
Tejeda, Divanna	JP Morgan Securities LLC
	Chase Investment Services
Valenzuela, Francisco	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Wadsworth, Jackie	IMS Securities, Inc
	Retirement Investment Group
Walker, Rick	Morgan Stanley
	Citigroup Global Markets Inc
Walters, James II	Edward Jones
Williams, Stephen	LPL Financial LLC
	Edward Jones
Yassin, Mohamed	National Securities Corp
	Morgan Stanley

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.