Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals For Violations Of FINRA Rules
According to FINRA Disciplinary actions for December 2019, 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 |
| DiLiberto, Jesse | Fidelity Brokerage Services LLC |
| Wilmington Capital Securities, LLC | |
| Fry, Stephen | Woodbury GFinancial Services, Inc. |
| H.D. Investment Services | |
| Gonzalez, Sofia | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Bank of America | |
| Johnson, Timothy Jr. | MML Investors, LLC |
| Suntrust Investment Services, Inc | |
| Karney, Amogh | |
| McGuire, Jesse | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Mostert, John | Quest Capital Strategies, Inc. |
| Intersecurities, Inc | |
| Murray, Robert | SW Financial |
| Joseph Stone Capital LLC | |
| Stokes, Dain | LPL Financial LLC |
| Edward Jones |
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.