Securities Arbitration Lawyers BlogFINRA Suspends Individuals in November 2016 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for November 2016, 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 |
| Scott Patrick Alcus | Morgan Stanley Smith Barney |
| Citigroup Global Markets Inc. | |
| Richard Edward Bohack | Rockwell Global Capital LLC |
| Global Arena Capital Corp. | |
| John Andrew Bredderman | Oppenheimer & Co. Inc. |
| UBS Financial Services Inc. | |
| Jon Christian Coleman | Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| Edward Jones | |
| Jay Todd Eurich | Morgan Stanley Smith Barney |
| Michael Dennis Hampton | LPL Financial LLC |
| Ameriprise Financial Services, Inc. | |
| John Harold Lohmeier | |
| Daniel Joseph Moniz | Revere Securities LLC |
| Newport Coast Securities, Inc. | |
| Jay Steven Sutherland | Ameriprise Financial Services, Inc. |
| Wells Fargo Advisors, LLC | |
| Thomas John Tedeschi | Joseph Stone Capital LLC |
| Blackbook Capital LLC | |
| John Joseph Tillger, Jr. | CV Brokerage, Inc. |
| Wharton Equity Corporation | |
| James Frederick Venditti | Infinex Investments, Inc. |
| LPL Financial 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.