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FINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for February 2018, 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 John Auckland   TIAA-CREF Individual & Institutional Services, LLC
  Morgan Stanley
  Michael Albert DiPietro   Transamerica Financial Advisors, Inc.
  Centaurus Financial, Inc.
  Laurie Anne Facsina   LPL Financial LLC
  Stratos Wealth Partners, Ltd
  Joseph Manuel Focil   Wedbush Securities Inc.
  Wells Fargo Advisors, LLC
  Christopher Lee Goslin   Harbor Light Securities, LLC
  J.P. Turner & Company, LLC
  Matthew Grady   Millstone Wealth Partners, LLC
  Barclays Capital Inc.
  Anthony Minerva   Richard James & Associates, Inc.
  J.D. Nicholas & Associates, Inc.
  James William Stanton Jr.   Wells Fargo Advisors, LLC
  MetLife Securities Inc.
  Joseph Morris Thurnherr   Spartan Capital Securities, LLC
  Windsor Street Capital, LP
  Darren Thomas Walton   Capital Synergy Partners
  Wells Fargo Advisors, LLC

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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