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

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.