Securities Arbitration Lawyers BlogIn October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for October 2017, 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 |
| James Curtis Ackerman | Sloan Securities Corp. |
| Sloan Investment Advisors LLC | |
| David Charles Cannata | Craig Scott Capital, LLC |
| Brookstone Securities, Inc. | |
| Joseph Casella | Morgan Stanley |
| Michael Todd Clements | Intercoastal Capital Markets, Inc. |
| Avenir Financial Group | |
| James Gabriel Collard | Managed Account Services, LLC |
| VFinance Investments, Inc. | |
| Avelino Cortina III | Wells Fargo Advisors, LLC |
| Citigroup Global Markets Inc. | |
| Tory A. Duggins | Avenir Financial Group |
| National Securities Corporation | |
| Timothy Stephen Fannin | UBS Financial Services Inc. |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Craig Charles Franzke | PNC Investments |
| Natcity Investments, Inc. | |
| Johan Henrik Frisell | Cambridge Investment Research, Inc. |
| Capital Wealth Strategies LLC | |
| Dwight O’Neal Fulton Jr. | Emmett A. Larkin Company, Inc. |
| Brookshire Securities Corporation | |
| Gerard Chandler Gremillion | ProFinancial, Inc. |
| Michael Dean Martin | UBS Financial Services Inc. |
| Morgan Stanley & Co., Inc. | |
| Christopher Russell McNamee | Dakota Securities International, Inc. |
| Sterling Financial Investment Group, Inc. | |
| Farid Morim | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Brent Morgan Porges | Meyers Associates, L.P. |
| Newbridge Securities Corporation | |
| Fredrick Deon Reagan | Wells Fargo Advisors, LLC |
| Edward Jones |
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.