A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals in July 2018 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for July 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:



  Anthony Carpenter   UBS Financial Services Inc
  A.G. Edwards  & Sons, Inc
  James Benjamin Fellus   Spencer-Winston Securities Corp
  White, Weld & Co. Securities, LLC
  Robert Lee Maupin   Fidelity Brokerage Services LLC
  Cuso Financial Services, L.P.
  Gary Lee Wright   Pensionmark Financial Group, LLC
  Pinnacle Wealth Planning Services, Inc

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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