According to FINRA Disciplinary actions for December 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 |
| Albin, William | Waddell & Reed |
| Metlife Securities Inc | |
| Allen, David | Avenir Financial Group |
| Gunnallen Financial, Inc | |
| Boupon, Kean | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Chang, Jonathan | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Clements, Michael | Intercoastal Capital Markets, Inc |
| Avenir Financial Group | |
| Fagenson, David | UBS Financial Services Inc |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Kelly, James | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Martino, Andrew | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Miller, Frederick | Investshares |
| Ameriprise Financial Services, Inc | |
| Rodriquez, Cesar | Avenir Financial Group |
| American Trust Investments Services Inc | |
| Roth, Brian | Aeon Capital Inc |
| The Benchmark Company, LLC | |
| Sarria, Jorge | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Weinstein, Gregg | Entrustpermal Securities LLC |
| Cantor Fitzgerald & Co | |
| Yassin, Mohamed | National Securities Corporation |
| Morgan Stanley |
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.