According to FINRA Disciplinary actions for October 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 |
| James Curtis Ackerman | Sloan Securities Corp |
| Aplan Securities, Inc. | |
| Robert Joseph Altemus | Merrill Lynch, Pierce, Fenner & Smith Inc |
| Citigroup Global Markets Inc. | |
| John Francis Clancy | UBS Financial Services Inc. |
| BB&T Investment Services, Inc. | |
| Scott Alan Dascani | Ameriprise Financial Services, Inc. |
| GunnAllen Financial, Inc. | |
| Matthew DiGregorio | Aegis Capital Corp. |
| J.D. Nicholas & Associates, Inc. | |
| Hugh Monroe Dyson Jr. | Ameriprise Financial Services, Inc. |
| Ameriprise Advisor Services, Inc. | |
| Peter Alex Gouzos | Hunter Scott Financial LLC |
| Dawson James Securities | |
| William Albert Hansen | Wells Fargo Advisors, LLC |
| Chase Investment Services Corp. | |
| Donna Marie Jenkins | International Assets Advisory, LLC |
| Anderson & Strudwick, Inc. | |
| Jason Eric Mininger | Kovack Securities Inc. |
| Wedbush Securities Inc. | |
| Scott Cameron Nicol | L.M. Kohn & Company |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | |
| John Morgan Pickens Jr. | United Brokerage Services, Inc |
| Edward Jones | |
| Francisco Xavier Savigne | Wells Fargo Advisors, LLC |
| Morgan Stanley Smith Barney | |
| Michael Edward Wallace | PreferredTrade, Inc. |
| Montrose Capital Management Ltd. |
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.