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

According to FINRA Disciplinary actions for October 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
Clay, Nathaniel	Laidlaw & Company (UK) LTD
	National Securities Corp
Gennity, William	First Standard Financial Company
	Alexander Capital
Germano, Anthony	Wells Fargo Advisors Financial Network
	UBS Financial Services
Lokits, Brandon	Wells Fargo Clearing Services
	Edward Jones
Mesaros, Shawn	Morgan Stanley Smith Barney
	Citigroup Global Markets Inc
Reynolds, John Jr.	Morgan Stanley
	Merrill Lynch, Pierce, Fenner & Smith Inc
Shotz, Richard	Wells Fargo Clearing Services
	Morgan Stanley
Vaccaro, Anthony Jr.	Raymond James & Assoc
	Southwest Securities

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