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January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for January 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

  Timothy Clark Bryant   Ameriprise Financial Services, Inc.
  Wells Fargo Advisors, LLC
  Philip Orezio Fatta   Spartan Capital Securities, LLC
  Blackbook Capital, LLC
  Lee Allen Jenkins Jr.   Triad Advisors, Inc.
  Wachovia Securities Financial Network, LLC
  Rick Douglas Konecny   National Securities Corporation
  J.P. Morgan Securities LLC
  Michael James McGraw   Morgan Stanley
  Wells Fargo Advisors, LLC
  Robert A. Perconte   Summit Brokerage Services, Inc.
  Ameriprise Financial Services, Inc.
  Philip Anthony Pizelo   Pacific West Securities, Inc.
  Great Northern Financial Securities, Inc.
  Michael Luciano Spinali   Morgan Stanley
  Edward Jones
  Kevin Wayne Taylor   Ameriprise Financial Services, Inc.
  Oppenheimer & Co. Inc.
  Gary Mark Zwetchkenbaum  Gilford Securities Incorporated

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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