Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2020
According to FINRA Disciplinary actions for January 2020, 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 |
| Bressman, Michael | FCG Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Dannenberg, Stephanie | |
| Dineen, Mary Ann | UBS Financial Services Inc. |
| Fagenson, David | Newbridge Securities Corp |
| UBS Financial Services Inc. | |
| Figueroa, Mark | Spartan Capital Securities, LLC |
| Arive Capital Markets | |
| Freeman, Michael | Spartan Capital Securities |
| Legend Securities, Inc | |
| Kopatz, Karen | Raymond James & Associates, Inc |
| Morgan Keegan & Company, Inc | |
| Morgan, Gregory | Allstate Financial Services, LLC |
| ProEquities, Inc | |
| Rayner, Wesley | Santander Securities LLC |
| JP Morgan Securities | |
| Rodriquez, Jordan | NYLife Securities LLC |
| Spyrka, Michael | Hold Brothers Capital |
| Stow, Frederick | Raymond James & Associates |
| Wells Fargo Advisors, LLC | |
| Taylor, Dennis | Taylor Capital Mgmt |
| Independent Financial Group | |
| Tarner, Cynthia | |
| Wetherell, Mark | Kovack Securities Inc |
| Invest Financial Corportion | |
| Wilk, Jason | Worden Capital Mgmt |
| Craft Capital Mgmt | |
| Wright, Marcus | Farmers Financial Solutions, LLC |
| JP Morgan Securities LLC |
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.