April 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 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 |
Adam Christopher Boynton | Morgan Stanley |
Wells Fargo Advisors, LLC | |
Olori Dennis Hamilton | Woodstock Financial Group, Inc. |
Blackbook Capital LLC | |
Jeffrey G. Lyon | Joseph Gunnar & Co. LLC |
Charles Vista LLC | |
Daniel Keenan Michelman | Rothschild Lieberman LLC |
PHX Financial, Inc. | |
Anthony Minerva | Richard James & Associates, Inc. |
J.D. Nicholas & Associates, Inc. | |
Russell Leo Sadler | Independent Financial Group, LLC |
Cambridge Investment Research, Inc. | |
Philip Jameson Staff | Ameriprise Financial Services, Inc. |
Wells Fargo Advisors, LLC | |
Scott Paul Strochak | Morgan Stanley |
Merrill Lynch, Pierce, Fenner & Smith Inc. | |
Donald Lee Watson Jr. | The Jeffrey Matthews Financial Group, LLC |
Stifel, Nicolaus & Company , Inc. | |
Patrick Justin White, Sr. | Laidlaw & Company (UK) Ltd. |
Blackbook Capital 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.