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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 2019, 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

  Boj, Pedro   UBS Financial Services Inc
  BBVA Securities of PR
  Brooks, Carter   Wells Fargo Clearing Services LLC
  Edward Jones
  Lofaro, Patrick   Rockwell Global Capital LLC
  Dalton Strategic Investment Services
  Muniz, George   Legend Securities, Inc
  Meridian Equity Partners, Inc
  Norton, Robert   Wells Fargo Advisors Financial Network, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Walsworth, Peter   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith 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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