FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award

According to FINRA Disciplinary actions for November 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
Ainsworth, Richard	Southwest Securities, Inc
	Morgan Stanley Smith Barney
Campbell, Charles	A.G. Edwards & Sons, Inc
	H&R Block Financial Advisors
Leeuw, Nancy
Leeuw, Perry	PFS Investments Inc
	Primerica Financial Services
Brian Decker	Worden Capital Management LLC
	Legend Securities
Jones, Johnnie	National Securities Corporation
	John Thomas Financial
Misseri, Bernardo	Legend Securities, Inc
	JP Turner & Company
Oakes, Thomas	Royal Securities Company
	Kent King Securities o., Inc
Orormaner, Michael	Cova Capital Partners LLC
	Salomon Whitney Financial
Pagartanis, Steven	Lombard Securities Inc
	Cadaret, Grant & Co
Siliato, Matthew	Wynston Hill Capital, LLC
	Spartan Capital Securities
Spaventa, Andrew	SW Financial
	Network 1 Financial Securities
Taylor, James	First Empire Securities,Inc
	Morgan Stanley

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