FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015

According to FINRA Disciplinary actions for November 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
Enver Rahman Alijaj	Avenir Financial Group
	Legend Securities, Inc.
Christopher R. Barber	Morgan Stanley Smith Barney
	Merrill Lynch, Pierce, Fenner & Smith Inc
Anthony Ryan Dutter	Morgan Stanley Smith Barney
	Edward Jones
John Scot Galinsky	Fintegra, LLC
	Advanced Equities, Inc.
William Benton Guido	LPL Financial LLC
	FSC Securities Corporation
Joseph Kennon Jayne	Ameriprise Financial Services, Inc.
	Banc of America Investment Services, Inc.
Michael David Lee	Newport Group Securities, Inc.
	American Financial Systems
George Henry Lucker III	Wells Fargo Investments, LLC
	Citigroup Global Markets Inc.
Daniel Richard Mignone	National Securities Corporation
	Berthel, Fisher & Company Financial Services, Inc.
Kenneth Charles Miles	Independent Financial Group, LLC
	Private Asset Group, Inc.
Cornelia S. O’Grady	Bank of America, N.A.
	AXA Advisors, LLC
David Allen Palmer	USAA Financial Advisors, Inc.
	Wells Fargo Advisors, LLC
Darin Richard Pastor	Courtlandt Securities Corporation
	Chelsea Financial Services
Nicholas Vito Ragone	Morgan Stanley Smith Barney
	Citigroup Global Markets Inc.
Gary Alan Schwarcz	Morgan Stanley Smith Barney
	Citigroup Global Markets Inc.
Ritchey Jon Wetzel	U.S. Bancorp Investments, Inc.
	Oppenheimer & Co. Inc.
Michael R. Wilt	AMP Wealth Management
	Cedar Creek Securities, Inc.

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.