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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015

According to FINRA Disciplinary actions for November 2015, 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

  Enver Rahman Alijaj   Avenir Financial Group
  Legend Securities, Inc.
  Christopher R. Barber   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Anthony Ryan Dutter   Morgan Stanley Smith Barney
  Edward Jones
  John Scot Galinsky   Fintegra, LLC
  Advanced Equities, Inc.
  William Benton Guido   LPL Financial LLC
  FSC Securities Corporation
  Joseph Kennon Jayne   Ameriprise Financial Services, Inc.
  Banc of America Investment Services, Inc.
  Michael David Lee   Newport Group Securities, Inc.
  American Financial Systems
  George Henry Lucker III   Wells Fargo Investments, LLC
  Citigroup Global Markets Inc.
  Daniel Richard Mignone   National Securities Corporation
  Berthel, Fisher & Company Financial Services, Inc.
  Kenneth Charles Miles   Independent Financial Group, LLC
  Private Asset Group, Inc.
  Cornelia S. O’Grady   Bank of America, N.A.
  AXA Advisors, LLC
  David Allen Palmer   USAA Financial Advisors, Inc.
  Wells Fargo Advisors, LLC
  Darin Richard Pastor   Courtlandt Securities Corporation
  Chelsea Financial Services
  Nicholas Vito Ragone   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Gary Alan Schwarcz   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Ritchey Jon Wetzel   U.S. Bancorp Investments, Inc.
  Oppenheimer & Co. Inc.
  Michael R. Wilt   AMP Wealth Management
  Cedar Creek Securities, Inc.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide 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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