Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in June 2018 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for June 2018, 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 |
| Daniel Harry Curkan | Sigma Financial Corporation |
| Morgan Stanley | |
| Diaz, Anthony | IBN Financial Services, Inc |
| Sandlapper Securities, LLC | |
| Brandon Avery Duncan | Royal Alliance Associates, Inc |
| Raymond James & Associates, Inc. | |
| Timothy Stephen Fannin | UBS Financial Services Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Michael P. Gopie | AXA Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Louis Karl Kittlaus | Wall Street Strategies, Inc |
| Edwin C. Blitz Investments, Inc | |
| Michael Scott Lavolpe | Meyers Associates, LP |
| Robert M Marks Jr. | Cape Securities Inc. |
| Synergy Investment Group, LLC | |
| Michael James McGraw | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Curtis Dean Milakovich | Kovack Securities Inc. |
| Lincoln Investment | |
| Matthew Jacob Paparazzo | Wells Fargo Clearing Services, LLC |
| J.P. Morgan Securities LLC |
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