Individuals barred by FINRA in July 2018

The Rosca Scarlato investor rights attorney Alan Rosca has launched investigations as to the brokers below, who were recently barred by the securities regulators according to the Disciplinary and Other FINRA Actions reported for July 2018:

Broker	Registration History	Customer Disputes
Paul Anthony Bustamante	Empire Asset Management Company	No
Thomas Matthew Dunlap	AXA Advisors, LLC	Yes
Joshua David Ellis	LPL Financial LLC	No
James Benjamin Farris	Merrill Lynch, Pierce, Fenner & Smith Incorporated	Yes
Samuel Lawayne Haddix	Ameriprise Financial Services, Inc.	Yes
Mark Anthony Hernandez	UBS Financial Services Inc.	No
Mark Anthony Hernandez	Morgan Stanley	No
Christopher Lee Hibbard	Merrill Lynch, Pierce, Fenner & Smith Incorporated	Yes
Abed William Lulu	Worden Capital Management LLC	Yes
	Rockwell Global Capital LLC
	Laidlaw & Company (UK) Ltd.
Michael Patrick Nanto	J.P. Morgan Securities LLC	Yes
Michael Patrick Nanto	Mutual of Omaha Investor Services, Inc.	Yes
Albert John Papada	Horace Mann Investors, Inc.	Yes
Zachary Rawson	Merrill Lynch, Pierce, Fenner & Smith Incorporated	No
Anteneh A Roberts	Merrill Lynch, Pierce, Fenner & Smith Incorporated	Yes
Anteneh A Roberts	PNC Investments	Yes

The Rosca Scarlato law firm represents investors who lose money as a result of investment-related fraud or misconduct. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions, and has helped recover money on behalf of investors.

Investors who believe they lost money as a result of investment-related fraud or misconduct may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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