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A National Securities Arbitration & Investment Fraud Law Firm

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In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules

According to FINRA Disciplinary actions for March 2017, 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
  Michael David Charest   Citizens Securities, Inc.
  CCO Investment Services Corp.
  William Thomas Eaton   LPL Financial LLC
  Wells Fargo Advisors, LLC
  Jason Francis Edwards   J.P Morgan Securities LLC
  SII Investments, Inc.
  Wayne Fitzgerald Ford   Salomon Whitney Financial
  Rockwell Global Capital LLC
  Robert M. Hirsch   T3 Trading Group, LLC
  UBS Financial Services Inc.
  Arthur Kenneth King IV   First Empire Securities, Inc.
  Stifel, Nicolaus & Company, Inc.
  Nicholas McCauley Messore   LPL Financial LLC
  Morgan Stanley Smith Barney
  Andrew Joseph Niehus   ULU Capital, LLC
  Raymond James & Associates, Inc.
  William A. Van Ormer III   Voya Financial Advisors, Inc.
  Suntrust Investment Services, Inc.
  Darin Richard Pastor   Courtlandt Securities Corporation
  Capstone Affluent Strategies

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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