According to FINRA Disciplinary actions for January 2018, 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 |
| Timothy Clark Bryant | Ameriprise Financial Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Philip Orezio Fatta | Spartan Capital Securities, LLC |
| Blackbook Capital, LLC | |
| Lee Allen Jenkins Jr. | Triad Advisors, Inc. |
| Wachovia Securities Financial Network, LLC | |
| Rick Douglas Konecny | National Securities Corporation |
| J.P. Morgan Securities LLC | |
| Michael James McGraw | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Robert A. Perconte | Summit Brokerage Services, Inc. |
| Ameriprise Financial Services, Inc. | |
| Philip Anthony Pizelo | Pacific West Securities, Inc. |
| Great Northern Financial Securities, Inc. | |
| Michael Luciano Spinali | Morgan Stanley |
| Edward Jones | |
| Kevin Wayne Taylor | Ameriprise Financial Services, Inc. |
| Oppenheimer & Co. Inc. | |
| Gary Mark Zwetchkenbaum | Gilford Securities Incorporated |
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.