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May 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for May 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

  Lawrence Joseph Alfano   Blackbook Capital LLC
  EKN Financial Services INC
  Terry Dean Bahgat   Gradient Securities, LLC
  Cambridge Investment Research, Inc
  Matthew Wayne Bailey   Wells Fargo Advisors, LLC
  Edward Jones
  Christopher John Calandrino   Joseph Stone Capital L.L.C.
  National Securities Corp.
  Richard Grant Cody   IFS Securities
  Concorde Investment Services, LLC
  Barry Franklin Connell   Morgan Stanley
  James Fillmore Crawford Jr.   Concorde Investment Services, LLC
  Independent Financial Group, LLC
  Rick Douglas Konency   National Securities Corporation
  J.P. Morgan Securities LLC
  Jonathan Richard Lake   Morgan Stanley
  Wells Fargo Clearing Services LLC
  Maroof Miyana   Legend Securities, Inc
  IAA Financial LLC
  Roberto Montano   Waddell & Reed
  U.S. Bancorp Investments, Inc
  Michael Jay Novick   Morgan Stanley
  Beverly Hills Wealth Management, LLC
  David Warren Olson   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Jason Charles Parker   LPL Financial LLC
  Edward Jones
  James Albert Pettit   Ameriprise Financial Services, Inc
  Janney Montgomery Scott LLC
  Jose Aloisio Teles   Nomura Securities International, Inc
  Standard Chartered Bank
  Jacques Tizabi   Astor Capital, Inc
  Round Hill Securities, Inc
  Christopher Thomas Tolmacs   Triad Advisors, Inc.
  Harbinger Asset Management, LLC
  Bhaskar Chandrakant Vyas   Interfirst Capital Corporation
  Western International Securities, Inc
  Mark Edward Winburne   MML Investors Services, LLC
  Metlife Securities, 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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