Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules
According to FINRA Disciplinary actions for July 2018, 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 |
| Alan Demond Garrett | Fidelity Brokerage Services LLC |
| Shawn Arthur Goding | Allstate Financial Services, LLC |
| Shawn Goding Insurance | |
| Ramon Arturo Herrera | Wells Fargo Clearing Services, LLC |
| Michael Dennis Jackson | Securities America, Inc |
| Brecek & Young Advisors, Inc | |
| Mandee Khu | J.P. Morgan Securities LLC |
| Chase Investment Services Corp | |
| Spencer Joseph Lassetter | Fidelity Brokerage Services LLC |
| Andrea Marie Milinkovic | PNC Investments |
| Suntrust Investment Services, Inc | |
| Stephen Allen Murray | Raymond James & Associates, Inc |
| Morgan Keegan & Company, Inc | |
| George James Oldoerp | H. Beck, Inc |
| Diversified Securities, Inc | |
| Mary E. Olson | |
| Paul Joseph Prestia | Laidlaw & Company |
| Network 1 Financial Securities, Inc | |
| Amanda Justine Sarabia | |
| David Warren Taylor | Lincoln Financial Securities Corporation |
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.