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December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for December 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
  Jason N. Anderson   IFS Securities
  Kovack Securities Inc.
  Johan Henrik Frisell   Cambridge Investment Research, Inc.
  Capital Wealth Strategies LLC
  Deborah E. Greenlee-Keck   Coastal Equities, Inc.
  Wells Fargo Advisors, LLC
  Manuel Tomas Paredes   Worden Capital Management LLC
  Spartan Capital Securities, LLC
  Phillip Eugene Pistilli   Joseph Stone Capital LLC
  Spartan Capital Securities, LLC
  Charles Courtney Sandoval   Allstate Financial Services, LLC
  SII Investments, 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.

 

 

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