A National Securities Arbitration & Investment Fraud Law Firm

FacebookTwitterLinkedInJustiaFeed

Published on:

FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for February 2019, 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

  Grossman, Robert   David Lerner Associates, Inc
  National Planning Corporation
  Jacobowitz, Oded   Securities America, Inc
  JP Morgan Securities LLC
  James, Garland   Garden State Securities, Inc
  Global Arena Capital Corp
  Konz, Rachel   Morgan Stanley
  Wells Fargo Advisors, LLC
  Moltz, Brian   MML Investors Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Park, Thomas   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Royster, Brian   HD Investment Services
  LPL Financial LLC
  Staff, Phillip   Ameriprise Financial Services, Inc
  Wells Fargo Advisors, 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.

Contact Information