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FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for December 2018, 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

   Albin, William   Waddell & Reed
  Metlife Securities Inc
  Allen, David   Avenir Financial Group
  Gunnallen Financial, Inc
  Boupon, Kean   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Chang, Jonathan   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Clements, Michael   Intercoastal Capital Markets, Inc
  Avenir Financial Group
  Fagenson, David   UBS Financial Services Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Kelly, James   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Martino, Andrew   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Miller, Frederick   Investshares
  Ameriprise Financial Services, Inc
 Rodriquez, Cesar   Avenir Financial Group
  American Trust Investments Services Inc
 Roth, Brian   Aeon Capital Inc
  The Benchmark Company, LLC
 Sarria, Jorge   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
 Weinstein, Gregg   Entrustpermal Securities LLC
  Cantor Fitzgerald & Co
 Yassin, Mohamed   National Securities Corporation
  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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