According to FINRA Disciplinary actions for June 2015, 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 |
| Candius J. Bannister | Morgan Stanley |
| Edward Jones | |
| Michael Sean Cain | Morgan Stanley Smith Barney |
| Morgan Keegan & Company, Inc. | |
| John Paul Cech | Morgan Stanley |
| Charles Schwab & Co., Inc. | |
| Daniel Joseph Crowley | Rochdale Securities LLC |
| Hoenig & Co., Inc. | |
| Brendan Perry Frank | Morgan Stanley |
| Citigroup Global Markets Inc. | |
| Peter H. Kim | Morgan Stanley |
| Wachovia Securities, LLC | |
| Joshua T. Krieg | Merrill Lynch, Pierce, Fenner & Smith Inc. |
| Morgan Stanley &Co., Inc. | |
| William Russell Makepeace IV | USAA Financial Advisors, Inc. |
| UBS Financial Services, Inc. | |
| Donald James McBirney | Sterne, Agee & Leach, Inc. |
| Oppenheimer & Co. Inc. |
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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.