Securities Arbitration Lawyers Blog
FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for April 2019, 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 |
| Boj, Pedro | UBS Financial Services Inc |
| BBVA Securities of PR | |
| Brooks, Carter | Wells Fargo Clearing Services LLC |
| Edward Jones | |
| Lofaro, Patrick | Rockwell Global Capital LLC |
| Dalton Strategic Investment Services | |
| Muniz, George | Legend Securities, Inc |
| Meridian Equity Partners, Inc | |
| Norton, Robert | Wells Fargo Advisors Financial Network, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Inc | |
| Walsworth, Peter | Morgan Stanley |
| 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.
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.
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