Securities Arbitration Lawyers BlogDecember 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.