A National Securities Arbitration & Investment Fraud Law Firm

Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules

According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:



  Barrera, Cynthia   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith
  Beyn, Edward   Rothchild Lieberman LLC
  Craig Scott Capital
  Blanchard, Keith   Waddell & Reed
  Block, Gabriel   First Standard Financial Co
  National Securities Corp
  Brown, Danard   Joseph Stone Capital
  First Standard Financial Co
  Eckstein, Matthew   Sisk Investment Services
  Gould, Ambroson & Associates
  Green, Mark   US Bancorp Investments
  Wells Fargo Advisors Financial Network
  Harris, Heath   Citigroup Global Markets
  Wells Fargo Clearing Services
  Hudgins, Sandra   Ameriprise Financial Services
  Merrill Lynch, Pierce, Fenner & Smith
  Jones, Alexander   LPL Financial
  Morgan Stanley
  Lanci, Sean   First Standard Financial Co
  Rothschild Lieberman
  McNutt, Jared   PNC Investments
  JP Morgan Securities
  Nunez, Michael   Morgan Stanley
  JP Morgan Securities
  Posillico, Paul   Aegis Capital Corp
  Obsidian Financial Group
  Powers, Dorothy   Ameriprise Financial Services
  IDS Life Insurance Co
  Preston, Duncan  
  Puricelli, Terrance   Wells Fargo Advisors
  Morgan Keegan & Co
  Rota, Dominic   Meyers Associates
  Rothschild Lieberman LLC
  Schreiner, Phillip   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith

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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