FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for February 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
Grossman, Robert	David Lerner Associates, Inc
	National Planning Corporation
Jacobowitz, Oded	Securities America, Inc
	JP Morgan Securities LLC
James, Garland	Garden State Securities, Inc
	Global Arena Capital Corp
Konz, Rachel	Morgan Stanley
	Wells Fargo Advisors, LLC
Moltz, Brian	MML Investors Services, LLC
	Merrill Lynch, Pierce, Fenner & Smith Inc
Park, Thomas	Wells Fargo Clearing Services, LLC
	Merrill Lynch, Pierce, Fenner & Smith Inc
Royster, Brian	HD Investment Services
	LPL Financial LLC
Staff, Phillip	Ameriprise Financial Services, Inc
	Wells Fargo Advisors, LLC

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