Securities Arbitration Lawyers BlogMay 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for May 2018, 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 |
| Lawrence Joseph Alfano | Blackbook Capital LLC |
| EKN Financial Services INC | |
| Terry Dean Bahgat | Gradient Securities, LLC |
| Cambridge Investment Research, Inc | |
| Matthew Wayne Bailey | Wells Fargo Advisors, LLC |
| Edward Jones | |
| Christopher John Calandrino | Joseph Stone Capital L.L.C. |
| National Securities Corp. | |
| Richard Grant Cody | IFS Securities |
| Concorde Investment Services, LLC | |
| Barry Franklin Connell | Morgan Stanley |
| James Fillmore Crawford Jr. | Concorde Investment Services, LLC |
| Independent Financial Group, LLC | |
| Rick Douglas Konency | National Securities Corporation |
| J.P. Morgan Securities LLC | |
| Jonathan Richard Lake | Morgan Stanley |
| Wells Fargo Clearing Services LLC | |
| Maroof Miyana | Legend Securities, Inc |
| IAA Financial LLC | |
| Roberto Montano | Waddell & Reed |
| U.S. Bancorp Investments, Inc | |
| Michael Jay Novick | Morgan Stanley |
| Beverly Hills Wealth Management, LLC | |
| David Warren Olson | Morgan Stanley |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Jason Charles Parker | LPL Financial LLC |
| Edward Jones | |
| James Albert Pettit | Ameriprise Financial Services, Inc |
| Janney Montgomery Scott LLC | |
| Jose Aloisio Teles | Nomura Securities International, Inc |
| Standard Chartered Bank | |
| Jacques Tizabi | Astor Capital, Inc |
| Round Hill Securities, Inc | |
| Christopher Thomas Tolmacs | Triad Advisors, Inc. |
| Harbinger Asset Management, LLC | |
| Bhaskar Chandrakant Vyas | Interfirst Capital Corporation |
| Western International Securities, Inc | |
| Mark Edward Winburne | MML Investors Services, LLC |
| Metlife Securities, 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.