A National Securities Arbitration & Investment Fraud Law Firm

FINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

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

  Bethan, Frank   Quest Capital Strategies, Inc
  Wells Fargo Clearing Services, LLC
  Cody, Jill   Concorde Investment Services, LLC
  Westminster Financial Securities, Inc
  Cody, Richard   IFS Securities
  Concorde Investment Services, LLC
  Genovese Michael   Laidlaw & Company (UK) LTD
  Rockwell Global Capital LLC
  Guderyon, John   WM Smith & Co
  Crest Capital LLC
  Laboranti, Jeffrey   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Martino, Andrew   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Simanski, Douglas   Next Financial Group, Inc
  Advantage Capital Corporation
  Valladolid, Guillermo   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wadsworth, Jackie   IMS Securities, Inc
  Acumen Securities, LLC

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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