Securities Arbitration Lawyers Blog
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2022
According to FINRA Disciplinary actions for November 2022, 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 |
| Carl Buhr | Wells Fargo Clearing Services, LLC |
| Morgan Stanley | |
| Neil Fineman | First Allied Securities, Inc. |
| Sagepoint Financial, Inc. | |
| Donald Heitz | LPL Financial LLC |
| First Command Fianncial Planning, Inc. | |
| Tim Leissner | Goldman, Sachs & Co. |
| Evan Schottenstein | J.P. Morgan Securities LLC |
| Morgan Stanley | |
| Bruce Smith | The Sports Advisory Group, LLC |
| UBS Financial Services Inc. | |
| David Weigel | Weigel Fiduciary Aset Management LLC |
| RBC Capital Markets, LLC |
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