According to FINRA Disciplinary actions for August 2017, 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 |
| Clifford Eugene Alexander III | Summit Brokerage Services, Inc. |
| Cantella & Co., Inc. | |
| Steven Preston Alexander | Citizens Securities, Inc. |
| CUNA Brokerage Services, Inc. | |
| Jason Edward Anderson | Wilbanks Securities, Inc. |
| Impact Financial Consulting, LLC | |
| Lawrence Allen Banks | PFS Investments Inc. |
| EKN Financial Services Inc. | |
| Chad Ryan Barancyk | SII Investments, Inc. |
| First Allied Securities, Inc. | |
| Jimmie Dean Canole | LaSalle St. Securities, LLC |
| Brewer Financial Services, LLC | |
| Jeremiah Jens Charlson | Wells Fargo Advisors, LLC |
| Edward Jones | |
| Matthew DiGregorio | Aegis Capital Corp. |
| J.D. Nicholas & Associates, Inc. | |
| Philip Orezio Fatta | Spartan Capital Securities, LLC |
| Blackook Capital, LLC | |
| Thomas M. Fayad | Oppenheimer & Co. Inc. |
| UBS Financial Services Inc. | |
| Jeanne Michelle Fisher | Summit Brokerage Services, Inc. |
| Cantella & Co., Inc. | |
| Gregory Flemming Jr. | Salomon Whitney Financial |
| Rockwell Global Capital LLC | |
| Robert Furciato, Jr. | Ameriprise Financial Services, Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| Michael Dennis Hampton | LPL Financial LLC |
| Ameriprise Financial Services, Inc. | |
| Jeffrey Scott Ickes | Ameriprise Financial Services, Inc. |
| Morgan Stanley Smith Barney | |
| Omar Tyrone Jeanty | Spartan Capital Securities, LLC |
| Primary Capital, LLC | |
| Erik Robert Kneip | LPL Financial LLC |
| Stratos Wealth Partners | |
| Jerome Scott Krause | First Heartland Capital, Inc. |
| Thrivent Investment Management Inc. | |
| Michael Scott Lavolpe | Meyers Associates, L.P. |
| David William Locy | Brookstone Securities, Inc. |
| Archer Alexander Securities Corporation | |
| Elvin J. Lopez | Legend Securities, Inc. |
| Worden Capital Management LLC | |
| Mary Helen Caprice Mallett | Independent Financial Group |
| Morgan Stanley Smith Barney | |
| Devon Coulin McLean | Questar Capital Corporation |
| USAllianz Securities, Inc. | |
| James William Mewborn | Principal Securities, Inc. |
| Cambridge Investment Research, Inc. | |
| Clifford Paul Murray, M.D. | Newport Coast Securities, Inc. |
| Empire Asset Management Company | |
| Gary Walter Oliphant | Ameriprise Financial Services, Inc. |
| Ameriprise Advisor Services, inc. | |
| Clifford Alan Schwartz | Westpark Capital, Inc. |
| The GMs Group , LLC | |
| Michael James Terry | Ameriprise Financial Services, Inc. |
| Suntrust Investment Services, Inc. | |
| Antony Lee Turbeville | Brookstone Securities, Inc. |
| Archer Alexander Securities Corporation | |
| Douglas Stuart Veitch, Sr. | Wilbanks Securities, Inc. |
| Woodbury Financial Services, Inc. | |
| Everett Scoville Walker, Jr. | |
| Patrick Justin White, Sr. | Laidlaw & Company (UK) Ltd. |
| BlackBook Capital LLC | |
| John Frederick Wolle | Sinclair & Company, LLC |
| 54 Freedom Securities 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.