A National Securities Arbitration & Investment Fraud Law Firm

September 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:



  Heath Bowen   Allegis Investment Services, LLC
  Signator Financial Services, Inc
  William Eaton   LPL Financial, LLC
  Wells Fargo Advisors, LLC
  Yosef Fox   Ditto Trade, Inc
  Web Street Securities, Inc
  Louis Kittlaus   Wall Street Strategies, Inc
  Edwin C. Blintz Investments, Inc.
  Robert Nash   Merrimac Corporate Securities, Inc.
  Jason Sullivan   Woodstock Financial Group, Inc
  Wells Fagro Clearing Services, LLC
  Michael Venturino   Trident Partners LTD
  Aegis Capital Corp

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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