Securities Arbitration Lawyers BlogSeptember 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules
According to FINRA Disciplinary actions for September 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 |
| Heath Bowen | Allegis Investment Services, LLC |
| Signator Financial Services, Inc | |
| William Eaton | LPL Financial, LLC |
| Wells Fargo Advisors, LLC | |
| Yosef Fox | Ditto Trade, Inc |
| Web Street Securities, Inc | |
| Louis Kittlaus | Wall Street Strategies, Inc |
| Edwin C. Blintz Investments, Inc. | |
| Robert Nash | Merrimac Corporate Securities, Inc. |
| Jason Sullivan | Woodstock Financial Group, Inc |
| Wells Fagro Clearing Services, LLC | |
| Michael Venturino | Trident Partners LTD |
| Aegis Capital Corp |
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