A National Securities Arbitration & Investment Fraud Law Firm

FINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules

According to FINRA Disciplinary actions for August 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

  Thomas Bennett   Bancwest Investment Services, Inc
  U.S. Bancorp Investments, Inc
  Eddy Blizzard   Suntrust Investment Services, Inc.
  M & T Securities, Inc
  Vincent Canzoneri   Sigma Financial Corporation
  Ameriprise Financial Services, Inc
  Barry Connell   Morgan Stanley
  UBS Financial Services Inc
  Charles Cox   Wells Fargo Advisors, LLC
  Chase investment Services Corp
  Shane Dawkins   Westpark Capital
  Joseph Stone Capital LLC
  Mark Flanagan   Citigroup Global Markets Inc
  Wells Fargo Advisors, LLC
  Donald Gambony III   Invest Financial Corporation
  MetLife Securities Inc.
  Scott Hartman    Morgan Stanley
  Sanford C. Bernstein & Co, LLC
  Evelyn Hernandez   Morgan Stanley
  J.P. Morgan Securities LLC
  Alexander Kibrik   Garden State Securities, Inc
  Radnor Research & Trading Company LLC
  James Polese   Morgan Stanley
  UBS Financial Services Inc
  Leslie Slaughter   Waddell & Reed
  TD Ameritrade, Inc
  Kenneth Tyrrell   Cary Street Partners
  UBS Financial Services 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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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