{"id":10881,"date":"2022-11-11T12:28:28","date_gmt":"2022-11-11T17:28:28","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10881"},"modified":"2022-11-11T12:28:28","modified_gmt":"2022-11-11T17:28:28","slug":"finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-october-2022","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-october-2022\/","title":{"rendered":"FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:<\/p>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Todd Kalish<\/td>\n\u00a0 Park Edge Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 McDonald Partners LLC<\/td>\n<\/tr>\n
\u00a0 Nicolas Lumermann<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Credit Suisse Securities (USA) LLC<\/td>\n<\/tr>\n
\u00a0 Jeff McElroy<\/td>\n\u00a0 BOK Financial Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Kevin NcNeil<\/td>\n\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Joseph Gunnar & Co., LLC<\/td>\n<\/tr>\n
\u00a0 Alex Salcedo<\/td>\n\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Francisco Valenzuela<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for October 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 \u00a0 Todd Kalish \u00a0 Park Edge Advisors, LLC \u00a0 McDonald Partners LLC \u00a0 Nicolas Lumermann \u00a0 Morgan Stanley \u00a0 Credit Suisse […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577],"tags":[],"class_list":["post-10881","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Brokers For Failing To Comply With Award Or Settlement Agreement October 2022<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2022, the following were suspended for failing to comply with an award 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