Securities Arbitration Lawyers BlogFINRA 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 |
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