FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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
Austin, Phillip	JP Morgan Securities
	Chase Investment Services
Bishop, Tywan	Charles Schwab & Co
	E Trade Securities
Delaney, Glen	Newbridge Securities
	Craig Scott Capital
Erhart, Peter	Ameriprise Financial Services
	IDS Life Insurance Company
Hafen, Herbert	Wells Fargo Clearing Services
	Morgan Stanley
Anubhavm Jain	Goldman Sachs & Co
	Deutsche Bank Securities, Inc
O’Neal, Tristan	Northwestern Mutual Investment Services
Owen, Steven	PFS Investments Inc
	Ameriprise Financial Services
Pico, Marc	LPL Financial LLC
	MML Investors Services
Renison, Thomas	Horace Mann Investors, Inc
	Northwestern Mutual Investment Services
Smith, Michael	Farmers Financial Solutions, LLC
Trotter, Aaron	JP Morgan Securities 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.