Securities Arbitration Lawyers BlogIn January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules
According to FINRA Disciplinary actions for January 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 |
| Alfaro, Jennifer | JP Morgan Securities LLC |
| JP Morgan Chase Bank | |
| Austin, Aaron | LPL Financial LLC |
| M&T Securities, Inc | |
| Austin, Phillip | JP Morgan Securities LLC |
| Chase Investment Services Corp | |
| Bogdan, David | Fidelity Brokerage Services LLC |
| Cash, Robert | JP Morgan Securities LLC |
| Conner Youn | |
| Dass, Anukul | NY Life Securities LLC |
| NY Life Insurance | |
| De La Mora, Rosalba | JP Morgan Securities |
| Erhart, Peter | Ameriprise Financial Services, Inc |
| IDS Life Insurance Company | |
| Ferraro, Andrew | State Farm VP Management |
| Andrew Ferraro Insurance Agency | |
| Hafen, Herbert | Wells Fargo Clearing Services LLC |
| Morgan Stanley | |
| Hamm, Brandon | Wells Fargo Clearing Services, LLC |
| Haynes, Keith | LPL Financial LLC |
| Community Trust Bank | |
| Jain, Anubhav | Goldman Sachs & Co LLC |
| Deutsche Bank Securities | |
| Jefferson, Vladimir | Wells Fargo Securities LLC |
| Century Park Capital Partners | |
| Jones, Marques | Bank of America |
| Merrill Lynch, Pierce, Fenner & Smith | |
| Lastrapes, Lisa | Merrill Lynch, Pierce, Fenner & Smith |
| USAA Financial Advisors | |
| Mak, Adrienne | JP Morgan Securities LLC |
| Chase Investment Services | |
| Martin, Robert | JP Morgan Securities |
| Scottrade, Inc | |
| McKinney, Roxana | Deutsche Bank Securities Inc |
| Park Avenue Securites | |
| Merlo, Robert | Allstate Financial Services |
| Pruco Securities | |
| Norris, Timothy | BMO Harris Financial Advisors |
| Harrisdirect LLC | |
| Owen, Steven | PFS Investments Inc |
| Ameriprise Financial Services | |
| Peskar,Denise | Pruco Securities, LLC |
| The Prudential Insurance Co | |
| Pico, Marc | LPL Financial LLC |
| MML Investors Services | |
| Renison, Thomas | Horace Mann Investors |
| Northwestern Mutual Investment Services | |
| Shin, Jameson | LPL Financial |
| Wells Fargo Advisors | |
| Smith, Michael | Farmers Financial Solutions |
| Cornell, Stanley | Merrill Lynch, Pierce, Fenner & Smith |
| Bank of America | |
| Stutzer, Wayne | RBC Capital Markets, LLC |
| Sutro & Co Incorporated | |
| Tarica Jr., Perry | Wells Fargo Clearing Services |
| A.G. Edwards & Sons | |
| Uribe, Juan | Wells Fargo Clearing LLC |
| JP Morgan Securities |
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.