According to FINRA Disciplinary actions for November 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 |
| Enver Rahman Alijaj | Avenir Financial Group |
| Legend Securities, Inc. | |
| Christopher R. Barber | Morgan Stanley Smith Barney |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Anthony Ryan Dutter | Morgan Stanley Smith Barney |
| Edward Jones | |
| John Scot Galinsky | Fintegra, LLC |
| Advanced Equities, Inc. | |
| William Benton Guido | LPL Financial LLC |
| FSC Securities Corporation | |
| Joseph Kennon Jayne | Ameriprise Financial Services, Inc. |
| Banc of America Investment Services, Inc. | |
| Michael David Lee | Newport Group Securities, Inc. |
| American Financial Systems | |
| George Henry Lucker III | Wells Fargo Investments, LLC |
| Citigroup Global Markets Inc. | |
| Daniel Richard Mignone | National Securities Corporation |
| Berthel, Fisher & Company Financial Services, Inc. | |
| Kenneth Charles Miles | Independent Financial Group, LLC |
| Private Asset Group, Inc. | |
| Cornelia S. O’Grady | Bank of America, N.A. |
| AXA Advisors, LLC | |
| David Allen Palmer | USAA Financial Advisors, Inc. |
| Wells Fargo Advisors, LLC | |
| Darin Richard Pastor | Courtlandt Securities Corporation |
| Chelsea Financial Services | |
| Nicholas Vito Ragone | Morgan Stanley Smith Barney |
| Citigroup Global Markets Inc. | |
| Gary Alan Schwarcz | Morgan Stanley Smith Barney |
| Citigroup Global Markets Inc. | |
| Ritchey Jon Wetzel | U.S. Bancorp Investments, Inc. |
| Oppenheimer & Co. Inc. | |
| Michael R. Wilt | AMP Wealth Management |
| Cedar Creek Securities, 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.