Securities Arbitration Lawyers BlogBrokers Suspended by FINRA in May 2015 for Failing to Comply with FINRA Award or Settlement Agreement
According to FINRA Disciplinary actions for May 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 |
| Jinesh Pravin Brahmbhatt | Success Trade Securities, Inc. |
| LPL Financial Corporation | |
| Patrick Ryan Bray | Newbridge Securities Corporation |
| UBS Financial Services Inc. | |
| Douglas Walter Campbell Jr. | Wedbush Securities Inc. |
| Brookstreet Securities Corporation | |
| Andrew Joseph Donofrio | Garden State Securities, Inc. |
| Wells Fargo Advisors, LLC | |
| Anthony Frank Giuliano III | EKN Financial Services, Inc. |
| John Thomas Financial | |
| Greg James Hilliard | Toussaint Capital Partners, LLC |
| Oppenheimer & Co. Inc. | |
| Brendon John Lyden | Oppenheimer & Co. Inc. |
| UBS Financial Services Inc. | |
| Wilhelm Nash | UBS Financial Services Inc. |
| Credit Suisse Securities (USA) LLC | |
| Alexander Walter Swanson |
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.