Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals for Violations of FINRA Rules – 3
According to FINRA Disciplinary actions for November, 2014, 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 |
| Niyukt Raghu Bhasin | NSM Securities, Inc. |
| Max International Broker/Dealer Corp. | |
| William Dean Chapman, Jr. | Alexander Capital Advisers |
| Ronald Moschetta | Todd and Company, Inc. |
| Strasbourger Pearson Tulcin Wolff Inc. | |
| Arthur James Penna | Eagle One Investments, LLC |
| ING Financial Partners, Inc. | |
| Wayne Timothy Roys | First National Capital Markets |
| Key Investment Services LLC | |
| Matthew Albert Ryer | Avenir Financial Group |
| Blackwall Capital Markets, Inc. | |
| Matthew A. Tarrance | Wells Fargo Advisors, LLC |
| Merrill Lynch, Pierce, Fenner & Smith 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.