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In June 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

  Kimberly Aylesworth   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Roger Ericson Bell   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Reuven Blank   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Patrick Ryan Bray   Newbridge Securities Corporation
  UBS Financial Services Inc.
  Richard Lyndon Brown   Arive Capital Markets
  Chelsea Financial Services
  Brian Richardson Castillo   Morgan Stanley
  Silver Oak Wealth Management
  Saimir Collaku   National Securities Corporation
  Wells Fargo Advisors, LLC
  Daniel Harry Curkan   Sigma Financial Corporation
  Morgan Stanley
  Donald Gene Dewaay Jr.   Dewaay Financial Network, LLC
  VSR Financial Services, Inc.
  Andrew Goodman   Jackson National Life Distributors LLC
  Wells Fargo Advisors, LLC
  Christopher Randall Johnson   Morgan Stanley
  UBS Financial Services Inc.
  Jose A. Landin Jr.   BBVA Securities Inc.
  Wells Fargo Advisors, LLC
  Adam Benjamin Mayfield   Cetera Advisor Networks LLC
  Suntrust Investment Services, Inc.
  Jason Todd Meil   Janney Montgomery Scott LLC
  Morgan Stanley
  Clifford Todd Morgan   Advanced Planning Securities, Inc
  Nations Financial Group, Inc.
  Manuel Tomas Paredes   Spartan Capital Securities, LLC
  National Securities Corporation
  Marc Harold Pearl   Wells Fargo Advisors, LLC
  LPL Financial LLC
  Casey Thomas Rodriguez   Arive Capital Markets
  Chelsea Financial Services
  David Aaron Seigerman   Janney Montgomery Scott LLC
  Morgan Stanley
  Jeffery Hunter Smith   Wells Fargo Advisors LLC
  Morgan Stanley
  Labron Manosa Toles   Rothschild Lieberman LLC
  Newport Coast Securities, Inc.
  Steven Michael Wisniewski   Newbridge Securities Corp
  Cambridge Investment Research, 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.



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