Securities Arbitration Lawyers BlogIndividuals 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.