FINRA Suspends Registered Individuals in January 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for January 2019, 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
Ballard, Timothy	Securities Americva
	National Planning Corp
Cunningham, Christopher	Fulcrum Securities
	Wells Fargo Advisors
Montano, Roberto	Waddell & Reed
	US Bancorp Investments
Plummer, Mark	Chestnut Exploration Partners
	Plummer Holdings
Sanford, Christopher	Natwest Markets Securities
	Amherst Pierpont
Vandyke, Victoria	Corinthian Partners
	Matrix USA LLC
White, Harold	Willow Cove Investment Group
	R.W. Towt & Assoc
Wilde, Maurice	Newbridge Securities Corp
	IFS Securities
Wood, Stephen	UBS Financial Services Inc
	Morgan Stanley

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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.