Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in July 2018 for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for July 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 |
| Anthony Carpenter | UBS Financial Services Inc |
| A.G. Edwards & Sons, Inc | |
| James Benjamin Fellus | Spencer-Winston Securities Corp |
| White, Weld & Co. Securities, LLC | |
| Robert Lee Maupin | Fidelity Brokerage Services LLC |
| Cuso Financial Services, L.P. | |
| Gary Lee Wright | Pensionmark Financial Group, LLC |
| Pinnacle Wealth Planning Services, Inc |
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