Securities Arbitration Lawyers BlogFINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for October 2016, 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 |
| George William Carris | John Carris Investments LLC |
| Brockington Securities, Inc. | |
| Michael Kevin Clark | |
| Jason Robert Diaz | Joseph Stone Capital LLC |
| Garden State Securities, Inc. | |
| Gregory Flemming Jr. | Salomon Whitney Financial |
| Rockwell Global Capital LLC | |
| Christopher John Gimblet | SWBC Investment Services, LLC |
| Halen Capital | |
| David Alan Lavine | UBS Financial Services Inc. |
| Morgan Stanley Smith Barney | |
| Derek Lee Miller | Securities America, Inc. |
| Cambridge Investment Research, Inc. | |
| Steven Nelson | |
| Hector Perez | Rockwell Global Capital LLC |
| Global Arena Capital Corp | |
| Naseem Mohammed Salamah | Ninepoint Advisors |
| Morgan Stanley Smith Barney | |
| Wesley Wayne Shaw | Wells Fargo Advisors, LLC |
| Edward Jones | |
| Lance E. Slater | Morgan Stanley Smith Barney |
| UBS Financial Services Inc. | |
| Scott Paul Strochak | Morgan Stanley Smith Barney |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration 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.