FINRA Disciplinary Actions For April 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement

According to FINRA Disciplinary actions for April 2020, 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
Neal Carlson	Wells Fargo Clearing Services, LLC
	Wells Fargo Advisors, LLC
Michael Carter	Morgan Stanley
	Ameriprise Financial Services, Inc.
John Church	Waddell & Reed
	Cetera Advisor Networks LLC
Gregory Clark	Burch & Company, Inc.
	Raymond James & Associates, Inc.
Avelino Cortina III	AC3 Capital, LLC
	Wells Fargo Advisors,LLC
William Despard	Morgan Stanley
	Citigroup Global Markets Inc.
Michael Guilfoyle	Four Points Capital Partners LLC
	IFS Securities
Kenneth Klaiman	Raymond James & Associates, Inc.
	Deutsche Bank Securities Inc.
Paul Liebman	Wells Fargo Advisors Financial Network, LLC
	Oppenheimer & Co, Inc.
Adam Morsi	Four Points Capital Partners LLC
	IFS Securities
Gary Orcutt	Securities America Inc
	USAdvisors Wealth Management
Vernon Sears, Jr.	Wells Fargo Clearing Services, LLC
	Raymond James & Associates, Inc.
Damion Smith	Morgan Stanley
	UBS Financial Services Inc.
Walter Sweatt II	Morgan Stanley
	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 toll free at (800) 975-4345 or email ssilver@silverlaw.com 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.