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

According to FINRA Disciplinary actions for January 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
  Callagy, Christopher   Aegis Capital Corp
  Oppenheimer & Co Inc
  Costanzo, Anthony   AXA Advisors, LLC
  Dininno, Matthew   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Dow, Rodrick   Securities America, Inc
  Cetera Financial Specialists LLC
  Eckstein, Matthew   Sisk Investment Services, Inc
  Gould, Ambroson & Associates LTD
  Fleming, David Jr.   Stifel, Nicolus & Company, Inc
  Sterne, Agee & Leach, Inc
  Kievman, Cary   Ameriprise Financial Services, Inc
  Morgan Stanley Smith Barney
  Krupnick, Jeffrey   Ameriprise Financial Services, Inc
  JHS Capital Advisors, LLC
  Lake, Jonathan   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  McCutchen, Jerry Sr.   Berthel, Fisher & Company Financial Services
  Next Financial Group, Inc
  Roveccio, Rocco   First Standard Financial Company LLC
  Alexander Capital, LP

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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