According to FINRA Disciplinary actions for August 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 |
| Thomas Bennett | Bancwest Investment Services, Inc |
| U.S. Bancorp Investments, Inc | |
| Eddy Blizzard | Suntrust Investment Services, Inc. |
| M & T Securities, Inc | |
| Vincent Canzoneri | Sigma Financial Corporation |
| Ameriprise Financial Services, Inc | |
| Barry Connell | Morgan Stanley |
| UBS Financial Services Inc | |
| Charles Cox | Wells Fargo Advisors, LLC |
| Chase investment Services Corp | |
| Shane Dawkins | Westpark Capital |
| Joseph Stone Capital LLC | |
| Mark Flanagan | Citigroup Global Markets Inc |
| Wells Fargo Advisors, LLC | |
| Donald Gambony III | Invest Financial Corporation |
| MetLife Securities Inc. | |
| Scott Hartman | Morgan Stanley |
| Sanford C. Bernstein & Co, LLC | |
| Evelyn Hernandez | Morgan Stanley |
| J.P. Morgan Securities LLC | |
| Alexander Kibrik | Garden State Securities, Inc |
| Radnor Research & Trading Company LLC | |
| James Polese | Morgan Stanley |
| UBS Financial Services Inc | |
| Leslie Slaughter | Waddell & Reed |
| TD Ameritrade, Inc | |
| Kenneth Tyrrell | Cary Street Partners |
| UBS Financial Services Inc |
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.