FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement

According to FINRA Disciplinary actions for August 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
Patrick Auckland	TIAA-VREF Individual & Institutional Services
	Morgan Stanley
Matthew DiNinno	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith
Nicholas Diesso	Ameriprise Financial Services
	Ameriprise Advisor Services
Roger Faubel	Chelsea Financial Services
	National Securities Corp
Keir Harner	Securities America
	Waddell & Reed
Heath Harris	Citigroup Global Markets Inc
	Wells Fargo Clearing Services
Ross Jordan	BBVA Securities
	Morgan Stanley
Charles LaMarca	Benjamin & Jerold Brokerage
	Meridian Equity Partners
Ernest Romer III	Corecap Investments, Inc
	L.M. Kohn & Company
Christopher Sanford	Natwest Markets Securities
	Amherst Pierpont
Matthew Siliato	Wynston Hill Capital
	Spartan Capital Securities

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.