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In May 2017 FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions, 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
  Fred Ronald Brown   UBS Financial Services Inc.
  Morgan Stanley & Co. Inc.
  Robert Joseph Burke III   Suntrust Investment Services, Inc.
  UBS Financial Services INc.
  Joseph Christopher Delaura   Citigroup Global Markets Inc.
  Morgan Stanley DW Inc.
  Michael Dennis Hampton   LPL Financial LLC
  Ameriprise Financial Services, Inc.
  Raul Enrique Jacobs   Waddell & Reed
  T2 Asset Management, LLC
  David Ladin   CUNA Brokerage Services, Inc.
  Allstate Financial Services, LLC
  Gregory Marcel Martino   Blackbook Capital LLC
  Coastal Equities, Inc.
  J-Thaddeus Peter McGaffey   Waddell & Reed
  Ameriprise Financial Services, Inc.
  Richard James Murphy   Tullett Prebon Financial Services LLC
  Citation Financial Group, LP
  Joseph Dominick Quinzi   First Standard Financial Company LLC
  Alexander Capital, LP
  Englebert Sarmiento   Network 1 Financial Securities Inc.
  EJ Sterling, LLC
  Laurence Michael Torres   First Standard Financial Company LLC
  Alexander Capital, LP
  Larry Michael Underwood Jr.   Wells Fargo Advisors, LLC
  A.G. Edwards & Sons, Inc.
  Troy William West   Innovation Partners LLC
  Regulus Advisors, 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.

 

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