FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for March 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
Alfaro, Jennifer	JP Morgan Securities
Austin, Aaron	LPL Financial LLC
	M & T Securities, Inc
Conner, Youn
Das, Anukul	NYLife Securities
Nayeli, Rosalba	JP Morgan Securities LLC
	Wells Fargo
Ferraro, Andrew	State Farm VP Mgmt Group
	Chris Ferraro Insurance Agency
Fidelman, Peter	Bradley Woods & Co
	Griffen Securities Inc
Gaston, Frantz	State Farm VP Mgmt
	Frantz Gaston Jr. Insurance Agency
Guillory, Michael	Financial West Group
	The Shemano Group, Inc
Hamm, Brandon	Wells Fargo Clearing Services
Hartigan, John	Entrustpermal Securities LLC
	Calyon Financial Inc
Jones, Marques	Merrill Lynch, Pierce, Fenner & Smith Inc
	Bank of America
Merlo, Robert	Allstate Financial Services
	Pruco Securities
Norris, Timothy	BMO Harris Financial Advisors
	HarrisDirect LLC
Olsen, Eric	NYLIfe Securities LLC
	Wellsfargo
Perez, Paul	Investcorp, Inc
	Fintegra LLC
Sullivan, Daniel Erich	Wunderlich Securities
	Chapdelaine & Co
Uribe, Juan	Wells Fargo Clearing Services
	JP Morgan Securities LLC
Wilson, Vance	Wells Fargo Clearing Serices
	Fidelity Brokerage Services
Witt, Robert	Voya Financial Adisors
	ING Financial Partners

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.