In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for March 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME	FORMER EMPLOYERS
Michael David Charest	Citizens Securities, Inc.
	CCO Investment Services Corp.
William Thomas Eaton	LPL Financial LLC
	Wells Fargo Advisors, LLC
Jason Francis Edwards	J.P Morgan Securities LLC
	SII Investments, Inc.
Wayne Fitzgerald Ford	Salomon Whitney Financial
	Rockwell Global Capital LLC
Robert M. Hirsch	T3 Trading Group, LLC
	UBS Financial Services Inc.
Arthur Kenneth King IV	First Empire Securities, Inc.
	Stifel, Nicolaus & Company, Inc.
Nicholas McCauley Messore	LPL Financial LLC
	Morgan Stanley Smith Barney
Andrew Joseph Niehus	ULU Capital, LLC
	Raymond James & Associates, Inc.
William A. Van Ormer III	Voya Financial Advisors, Inc.
	Suntrust Investment Services, Inc.
Darin Richard Pastor	Courtlandt Securities Corporation
	Capstone Affluent Strategies

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.