According to FINRA Disciplinary actions for June 2019, 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 |
| Andrews, Helen | Morgan Stanley |
| Barclays Capital Inc | |
| Andreyeva, Tatyana | Westpark Capital, Inc |
| Fordham Financial Management, Inc | |
| Basarian, Gary | Royal Alliance Associates, Inc |
| Integrated Resources Equity Corp | |
| Bowen, Heath | Allegis Investment Services, LLC |
| Signator Financial Services, Inc | |
| Cohen, Michael | Dinosaur Financial Group, LLC |
| IFS Securities | |
| Gendlek, Francis | IFS Securities |
| TFS Securities, Inc | |
| Hartnett, Richard | Morgan Stanley |
| CIBC World Markets Corp | |
| Kanoy, Anson | Raymond James & Assoc, Inc |
| Wells Fargo Advisors, LLC | |
| Miller, Eric | Scottsdale Capital Advisors Corp |
| Rocky Mountain Securities & Investments, Inc | |
| Murray, Stephen | Raymond James & Associates, Inc |
| Morgan Keegan & Company, Inc | |
| Ramcharran, Rameshwar | Ameriprise Financial Services, Inc |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Romer III, Ernest | Corecap Investments, Inc |
| L.M. Kohn & Company | |
| Rumayor, Juan | Farmers Financial Solutions, LLC |
| HSBS Securities (USA) Inc | |
| Salcedo, Alex | Scottrade, Inc |
| Wells Fargo Clearing Services, LLC | |
| Webb, James Jr. | Citigroup Global Markets Inc |
| Merrill Lynch, Pierce, Fenner & Smith 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.