A National Securities Arbitration & Investment Fraud Law Firm

FINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for October 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
  George William Carris   John Carris Investments LLC
  Brockington Securities, Inc.
  Michael Kevin Clark
  Jason Robert Diaz   Joseph Stone Capital LLC
  Garden State Securities, Inc.
  Gregory Flemming Jr.   Salomon Whitney Financial
  Rockwell Global Capital LLC
  Christopher John Gimblet   SWBC Investment Services, LLC
  Halen Capital
  David Alan Lavine   UBS Financial Services Inc.
  Morgan Stanley Smith Barney
  Derek Lee Miller   Securities America, Inc.
  Cambridge Investment Research, Inc.
  Steven Nelson
  Hector Perez   Rockwell Global Capital LLC
  Global Arena Capital Corp
  Naseem Mohammed Salamah   Ninepoint Advisors
  Morgan Stanley Smith Barney
  Wesley Wayne Shaw   Wells Fargo Advisors, LLC
  Edward Jones
  Lance E. Slater   Morgan Stanley Smith Barney
  UBS Financial Services Inc.
  Scott Paul Strochak   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith, 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.

Contact Information