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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.

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