According to FINRA Disciplinary actions for April 2020, 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 |
| Neal Carlson | Wells Fargo Clearing Services, LLC |
| Wells Fargo Advisors, LLC | |
| Michael Carter | Morgan Stanley |
| Ameriprise Financial Services, Inc. | |
| John Church | Waddell & Reed |
| Cetera Advisor Networks LLC | |
| Gregory Clark | Burch & Company, Inc. |
| Raymond James & Associates, Inc. | |
| Avelino Cortina III | AC3 Capital, LLC |
| Wells Fargo Advisors,LLC | |
| William Despard | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Michael Guilfoyle | Four Points Capital Partners LLC |
| IFS Securities | |
| Kenneth Klaiman | Raymond James & Associates, Inc. |
| Deutsche Bank Securities Inc. | |
| Paul Liebman | Wells Fargo Advisors Financial Network, LLC |
| Oppenheimer & Co, Inc. | |
| Adam Morsi | Four Points Capital Partners LLC |
| IFS Securities | |
| Gary Orcutt | Securities America Inc |
| USAdvisors Wealth Management | |
| Vernon Sears, Jr. | Wells Fargo Clearing Services, LLC |
| Raymond James & Associates, Inc. | |
| Damion Smith | Morgan Stanley |
| UBS Financial Services Inc. | |
| Walter Sweatt II | Morgan Stanley |
| 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 toll free at (800) 975-4345 or email ssilver@silverlaw.com 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.