FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

According to FINRA Disciplinary actions for December 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
Amparo, Nelson	Citizens Securities, Inc
	Santander Securities LLC
Bethan, Frank	Quest Capital Strategies, Inc
	Wells Fargo Clearing Services, LLC
Brown, Andrew	Worden Capital Management LLC
	Aegis Capital Corp
Gonzalez, Frankie	Morgan Stanley
	Wells Fargo Advisors, LLC
Horner, Marc	Triad Advisors LLC
	UBS Financial Services Inc
Smith, John	Legend Securities, Inc
	NYLife Securities LLC
Smith, Joseph III	Morgan Stanley
	Wells Fargo Advisors, LLC
Williams, Jacob	U.S. Bancorp Investments, Inc
	Edward Jones

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