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

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