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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules in January 2016

According to FINRA Disciplinary actions for January 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
  William Walter Almond   Morgan Stanley
  New England Securities
  William Austin Bailey   Next Financial Group, Inc.
  Mutual Service Corporation
  Brian Michael Berger   Newbridge Securities Corporation
  Metlife Securities Inc.
  Joseph Craig Buchanan   Morgan Stanley Smith Barney
  UBS Financial Services Inc.
  George William Carris   John Carris Investments LLC
  Brockington Securities, Inc.
  Maurice Joseph Chelliah   Evolve Securities, Inc.
  World Group Securities, Inc.
  Anthony Diaz   IBN Financial Services, Inc.
  Sandlapper Securities, LLC
  Michael Harris Lauer   J.P. Morgan Securities LLC
  Morgan Stanley
  Anthony Locantore   ING Financial Partners, Inc.
  SII Investments, Inc.
  Wilhelm Nash   UBS Financial Services Inc.
  Credit Suisse Securities (USA) LLC
  Peter Andrew Reinhart   Ameriprise Financial Services, Inc.
  Wells Fargo Advisors Financial Network, LLC
  Chad Herschel Samuel   Wells Fargo Advisors, LLC
  Morgan Stanley Smith Barney
  Charles Vaccarro   F1 Trading.com, Inc.
  Greenway Capital Corp.

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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