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

According to FINRA Disciplinary actions for April 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
Boj, Pedro	UBS Financial Services Inc
	BBVA Securities of PR
Brooks, Carter	Wells Fargo Clearing Services LLC
	Edward Jones
Lofaro, Patrick	Rockwell Global Capital LLC
	Dalton Strategic Investment Services
Muniz, George	Legend Securities, Inc
	Meridian Equity Partners, Inc
Norton, Robert	Wells Fargo Advisors Financial Network, LLC
	Merrill Lynch, Pierce, Fenner & Smith Inc
Walsworth, Peter	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc

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.

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