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FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award

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

  Ainsworth, Richard   Southwest Securities, Inc
  Morgan Stanley Smith Barney
  Campbell, Charles   A.G. Edwards & Sons, Inc
  H&R Block Financial Advisors
  Leeuw, Nancy
  Leeuw, Perry   PFS Investments Inc
  Primerica Financial Services
  Brian Decker   Worden Capital Management LLC
  Legend Securities
  Jones, Johnnie   National Securities Corporation
  John Thomas Financial
  Misseri, Bernardo   Legend Securities, Inc
  JP Turner & Company
  Oakes, Thomas   Royal Securities Company
  Kent King Securities o., Inc
  Orormaner, Michael   Cova Capital Partners LLC
  Salomon Whitney Financial
  Pagartanis, Steven   Lombard Securities Inc
  Cadaret, Grant & Co
  Siliato, Matthew   Wynston Hill Capital, LLC
  Spartan Capital Securities
  Spaventa, Andrew   SW Financial
  Network 1 Financial Securities
  Taylor, James   First Empire Securities,Inc
  Morgan Stanley

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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