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A National Securities Arbitration & Investment Fraud Law Firm

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FINRA Suspends Individuals in April 2016 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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
  Russell Andrew Carbonara   Pinebridge Securities, LLC
  Aria Capital Advisors, LLC
  Roger Briggs Coe, Jr.   Gate US, LLC
  Zealous Capital Markets, LLC
  Jerrid Jemal Douglas   Barclays Capital Inc.
  Citigroup Global Markets, Inc.
  Terry Lee Haggerty   Penvest Securities, Inc.
  BB Graham & Company, Inc.
  Mark David Holt   Harbour Investments, Inc.
  Geneos Wealth Management, Inc.
  Pil Sang Hwang   Wells Fargo Advisors, LLC
  Phillips & Company Securities
  Robert John Matarazzo, Jr.   Waddell & Reed, Inc.
  New England Securities
  James Kenneth Maurice   Wachovia Securities, LLC
  A.G. Edwards & Sons, Inc.
  Bahram Mirhashemi   Accelerated Capital Group
  Ameriprise Financial Services, Inc.
  Charles J. Moore   Achilles Securities, LLC
  Crucible Capital Group, Inc.
  Joshua James Nanci   Foreside Fund Services, LLC
  Aria Capital Advisors, LLC

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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