According to FINRA Disciplinary actions for February 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 |
| Grossman, Robert | David Lerner Associates, Inc |
| National Planning Corporation | |
| Jacobowitz, Oded | Securities America, Inc |
| JP Morgan Securities LLC | |
| James, Garland | Garden State Securities, Inc |
| Global Arena Capital Corp | |
| Konz, Rachel | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Moltz, Brian | MML Investors Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Park, Thomas | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Royster, Brian | HD Investment Services |
| LPL Financial LLC | |
| Staff, Phillip | Ameriprise Financial Services, Inc |
| 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.
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.