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.