Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules
According to FINRA Disciplinary actions for June 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 |
| Andrews, Carolyn | UBS Financial Services Inc. |
| Morgan Keegan & Company, Inc | |
| Avent, Meiewyn | Alliance-One Investments, LLC |
| Metlife Investors Distribution Company | |
| Bougopoulkos, Nicholas | Wells Fargo Securities, LLC |
| Stifel Financial Corp | |
| Cook, Marian | Farmers Financial Solutions, LLC |
| Corley, Robert | Fidelity Brokerage Services LLC |
| Redstone Securities, Inc | |
| Detamore, Craig | Allstate Financial Services, LLC |
| Dysart, Jennifer | |
| Friedman, Steven | Ameriprise Financial Services, Inc |
| IDS Life Insurance Company | |
| Garcia, Francisco | Park Avenue Securities |
| EQ Financial Consultants Inc | |
| Griffin, Sparkle | UBS Financial Services Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Heilman, Peter | Edward Jones |
| High, Robert | First Financial Equity Corp |
| Chase Investment Services Corp | |
| Irizarry, Melissa | LPL Financial LLC |
| Invest Financial Corp | |
| LaBare, Richard | Union Capital Company |
| Morgan Stanley & Co Inc | |
| Mariampolski, Arnold | AXA Advisors |
| Ohel, Ziv | CFD Investments, Inc |
| Ameriprise Financial Services, Inc | |
| Ortega, James | Allstate Financial Services, LLC |
| Powers, Robert | Emerging Growth Equities, LTD |
| Roth Capital Partners, LLC | |
| Rubio, Miguel | State Farm VP Management Corp |
| Soto, Rani | Prudential Investment Mgmt Services LLC |
| Alliance Bernstein Investments, Inc | |
| Thompson-Owens, Terrell | |
| Thurman, Purnell | Park Avenue Securities LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Yasso, Brandon | 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.