Securities Arbitration Lawyers BlogRegistered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules
According to FINRA Disciplinary actions for July 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 |
| Bender, Charles III | Suntrust Investment Services, Inc |
| JP Morgan Securities LLC | |
| Bingham, Daniel | Essex Securities LLC |
| Investors Capital | |
| Diehlman, Kurt | Investacorp, Inc |
| Schneider Securities, Inc | |
| D’Meo, James | Kenneth, Jerome & Co, Inc |
| Equity Services, Inc | |
| Gallacher, David | LPL Financial LLC |
| AG Edwards & Sons Inc | |
| Giraldo, Jose | Merrill Lynch, Pierce, Fenner & Smith Inc |
| David Lerner Associates | |
| Goebel, Kyle | |
| Gonzalez, Fernando | PNC Investments |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Gurrola, Kenneth | Muriel Siebert & Co., Inc |
| Kaufman Bros, LP | |
| Harris, Adrianna | Charles Schwab & Co., Inc |
| Hose, Audrey | UBS Financial Services Inc |
| Knowles, Jeffrey | LPL Financial LLC |
| Ameriprise Financial Services, Inc | |
| Laishes, Brian | Investacorp, Inc |
| Commonwealth Financial Network | |
| May, Timothy | One America Securities, Inc |
| Signator Investors, Inc | |
| Noto, Philip | First Standard Financial Company |
| Alexander Capital, LP | |
| Saljooki, Yousuf | Worden Capital Management LLC |
| SW Financial | |
| Scarfone, Bryce | HSBC Securities |
| Siegel, Craig | Portfolio Advisors Alliance, LLC |
| John Thomas Financial | |
| Roger Takami | Voya Financial Advisors, Inc |
| LPL Financial Corporation | |
| Thurman, Purnell | Park Avenue Securities LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Wernig, Charles III | Voya Financial Advisors, Inc |
| Kestra Investment Services, LLC | |
| Zhang, Xtangyu | Wells Fargo Clearing Services, LLC |
| LPL Financial 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.