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

According to FINRA Disciplinary actions for February 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
Cline, Kevin	Source Capital Group, Inc
	Ridgemont Securities, Inc
Delaney, Maxwell	Brill Securities, Inc
	National Securities Corporation
Henrich, Todd	National Securities Corp
	Obsidian Financial Group
Garland, James	Garden State Securities
	Global Arena Capital Corp
Kloskowski, Daniel	National Securities Corp
	Obsidian Financial Group, Inc
Lowe, Brent	Morgan Stanley Smith Barney
	Merrill Lynch, Pierce, Fenner & Smith
Ray, Aaron	Vanguard Capital
	Blue Vase Securities, LLC
Spaventa, Andrew	SW Financial
	Network 1 Financial Securities
Kraft, David	Morgan Stanley
	Wells Fargo Advisors
Williams, Brian	Waddell & Reed
	Benjamin F. Edwards & Company

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.