FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement Nov 2023
According to FINRA Disciplinary actions for November 2023, 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 |
Patrick Cavanagh | Spartan Capital securities, LLC |
National Securities Corporation | |
Michael Digioia | Lampost Capital, L.C. |
Arive Capital Markets | |
Dan Droeg | United Planners’ Financial Services of America |
Sagepoint Financial, Inc. | |
Thomas McDevitt | Ameriprise Financial Services, Inc. |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
Louis Pellegriti | Spartan Capital Securities, LLC |
Worden Capital Management LLC | |
Jorge Sarria | Morgan Stanley |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
Daniel Snodgrass | BCG Securities, Inc. |
UBS Financial Services Inc. | |
Kevin Springstead | Craft Capital Management LLC |
Arive Capital Markets | |
Terry Tzagarakis | Arive Capital Markets |
Worden Capital Management LLC | |
Jamie Worden | Worden Capital Management LLC |
Salomon Whitney LLC |