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A National Securities Arbitration & Investment Fraud Law Firm

Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for April 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
  Robert Thomas Anderson   Wells Fargo Advisors, LLC
  UBS Financial Services Inc
  Li-Lin Hsu   Ameriprise Financial Services
  Transglobal Advisory, LLC
  Michael David Lee   Newport Group Securities, Inc.
  The Leaders Group, Inc.
  Jeffrey David Miller   LEK Securities Corporation
  Mitchell Securities, Inc.
  Carlos Antonio Rodriquez   UBS Financial Services Inc
  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.

 

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