According to FINRA Disciplinary actions for February 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
|
| Arizmendi, Jose |
Silber Bennett Financial, Inc |
| TCFG Wealth Management, LLC |
| Barrick, Tabor |
FBL Marketing Services, LLC |
| Allstate Financial Services, LLC |
| Bogdan, David |
Fidelity Brokerage |
| Conklin, Jeffrey |
The Huntington Investment Company |
| Huntington National Bank |
| Crocker, Sierra |
Voya Financial Partners |
| Suntrust Bank |
| Gaston, Frantz |
State Farm VP Management Corp |
| Frantz Gaston Jr. Insurance Agency |
| Peter Gomez |
NYLife Securities LLC |
| New York Life Insurance Co |
| Harris, Dionna |
Vanguard Marketing Corporation |
| Henry, Omar |
Cetera Advisors LLC |
| JP Morgan Securities LLC |
| King, Erin |
Wells Fargo Clearing Services, LLC |
| Wells Fargo Bank |
| Lin, Linda |
|
| Lossing, Christopher |
LPL Financial LLC |
| Edward Jones |
| McNeill, Randolph |
Buckman, Buckman & Reid, Inc |
| Garden State Securities |
| Minichino, Richard |
Next Financial Group, Inc |
| Wunderlich Securities, Inc |
| Nicholl, Timothy |
|
| Onu, Isaac |
NYLife Securities LLC |
| Wells Fargo Advisors, LLC |
| Peskar, Denise |
Pruco Securities, LLC |
| The Prudential Insurance Co of America |
| Schwede, Jaime |
|
| Simon, Justin |
NYLife Securities LLC |
| Country Capital Management Co |
| Sredich, Kimberly |
|
| Stephens, Dudley |
Coastal Equities, Inc |
| Prospera Financial Services, Inc |
| Strawn, Brandon |
|
| Tinsley, Sean |
Park Avenue Securities LLC |
| AXA Advisors, LLC |
| Trussell, Derrick |
PFS Investments Inc |
| Vailiancourt Jr., Peter |
Fidelity Brokerage Services LLC |
| Wood, Daniel |
LPL Financial LLC |
| Morgan Stanley Smith Barney |
| Wright, Bryan |
Pruco Securities, LLC |
| The Prudential Insurance Company of America |
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.
Securities Arbitration Lawyers Blog
A stockholder in The Parking REIT has filed class action lawsuit against the company in Nevada federal court. The lawsuit is related to the proxy statements MVP REIT II filed with the SEC to get shareholder approval to merge with MVP REIT, which created The Parking REIT.
The Financial Industry Regulatory Authority Inc. fined H. Beck $400,000 on November 20, 2018 for failing to maintain and enforce its own written supervisory procedures. Failing to maintain their procedures has resulted in the unsuitable sale of L-share variable annuities tied to long-term riders.
The Wall Street Journal reported that Fidelity Investments is the subject of a Labor Department probe and a lawsuit by an investor in a T-Mobile 401(k) plan, regarding the disclosure of an “infrastructure fee” it charges mutual funds for using their FundsNetwork asset management platform.
Broker Christoper Bice (