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FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement

According to FINRA Disciplinary actions for August 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

  Patrick Auckland   TIAA-VREF Individual & Institutional Services
  Morgan Stanley
  Matthew DiNinno   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith
  Nicholas Diesso   Ameriprise Financial Services
  Ameriprise Advisor Services
  Roger Faubel   Chelsea Financial Services
  National Securities Corp
  Keir Harner   Securities America
  Waddell & Reed
  Heath Harris   Citigroup Global Markets Inc
  Wells Fargo Clearing Services
  Ross Jordan   BBVA Securities
  Morgan Stanley
  Charles LaMarca   Benjamin & Jerold Brokerage
  Meridian Equity Partners
  Ernest Romer III   Corecap Investments, Inc
  L.M. Kohn & Company
  Christopher Sanford   Natwest Markets Securities
  Amherst Pierpont
  Matthew Siliato   Wynston Hill Capital
  Spartan Capital Securities

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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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