A National Securities Arbitration & Investment Fraud Law Firm

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

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

  Clay, Nathaniel   Laidlaw & Company (UK) LTD
  National Securities Corp
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Germano, Anthony   Wells Fargo Advisors Financial Network
  UBS Financial Services
  Lokits, Brandon   Wells Fargo Clearing Services
  Edward Jones
  Mesaros, Shawn   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc
  Reynolds, John Jr.   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shotz, Richard   Wells Fargo Clearing Services
  Morgan Stanley
  Vaccaro, Anthony Jr.   Raymond James & Assoc
  Southwest Securities

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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