A National Securities Arbitration & Investment Fraud Law Firm

April 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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
  Adam Christopher Boynton   Morgan Stanley
  Wells Fargo Advisors, LLC
  Olori Dennis Hamilton   Woodstock Financial Group, Inc.
  Blackbook Capital LLC
  Jeffrey G. Lyon   Joseph Gunnar & Co. LLC
  Charles Vista LLC
  Daniel Keenan Michelman   Rothschild Lieberman LLC
  PHX Financial, Inc.
  Anthony Minerva   Richard James & Associates, Inc.
  J.D. Nicholas & Associates, Inc.
  Russell Leo Sadler   Independent Financial Group, LLC
  Cambridge Investment Research, Inc.
  Philip Jameson Staff   Ameriprise Financial Services, Inc.
  Wells Fargo Advisors, LLC
  Scott Paul Strochak   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Donald Lee Watson Jr.   The Jeffrey Matthews Financial Group, LLC
  Stifel, Nicolaus & Company , Inc.
  Patrick Justin White, Sr.   Laidlaw & Company (UK) Ltd.
  Blackbook Capital 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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