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A National Securities Arbitration & Investment Fraud Law Firm

FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules

According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

  Amparo, Nelson   Citizens Securities, Inc
  Santander Securities LLC
  Bethan, Frank   Quest Capital Strategies, Inc
  Wells Fargo Clearing Services, LLC
  Brown, Andrew   Worden Capital Management LLC
  Aegis Capital Corp
  Gonzalez, Frankie   Morgan Stanley
  Wells Fargo Advisors, LLC
  Horner, Marc   Triad Advisors LLC
  UBS Financial Services Inc
  Smith, John   Legend Securities, Inc
  NYLife Securities LLC
  Smith, Joseph III   Morgan Stanley
  Wells Fargo Advisors, LLC
  Williams, Jacob   U.S. Bancorp Investments, Inc
  Edward Jones

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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