According to FINRA Disciplinary actions for February 2018, 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 John Auckland | TIAA-CREF Individual & Institutional Services, LLC |
| Morgan Stanley | |
| Michael Albert DiPietro | Transamerica Financial Advisors, Inc. |
| Centaurus Financial, Inc. | |
| Laurie Anne Facsina | LPL Financial LLC |
| Stratos Wealth Partners, Ltd | |
| Joseph Manuel Focil | Wedbush Securities Inc. |
| Wells Fargo Advisors, LLC | |
| Christopher Lee Goslin | Harbor Light Securities, LLC |
| J.P. Turner & Company, LLC | |
| Matthew Grady | Millstone Wealth Partners, LLC |
| Barclays Capital Inc. | |
| Anthony Minerva | Richard James & Associates, Inc. |
| J.D. Nicholas & Associates, Inc. | |
| James William Stanton Jr. | Wells Fargo Advisors, LLC |
| MetLife Securities Inc. | |
| Joseph Morris Thurnherr | Spartan Capital Securities, LLC |
| Windsor Street Capital, LP | |
| Darren Thomas Walton | Capital Synergy Partners |
| Wells Fargo Advisors, LLC |
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.