{"id":11196,"date":"2023-10-25T15:49:02","date_gmt":"2023-10-25T19:49:02","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11196"},"modified":"2023-10-25T15:49:02","modified_gmt":"2023-10-25T19:49:02","slug":"finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-september-2023","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-september-2023\/","title":{"rendered":"FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 2023, 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\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 Laurence Allen<\/td>\n\u00a0 NYPPEX, LLC<\/td>\n<\/tr>\n
\u00a0 Northeast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Desapio<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 DeVere Dudley<\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Austin Dutton Jr.<\/td>\n\u00a0 American Trust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 PRIMEX<\/td>\n<\/tr>\n
\u00a0 Adam Ezrilov<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 RBC Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 Samuel Girgiss<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Dennis Hanrahan<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 John Thomas Financial<\/td>\n<\/tr>\n
\u00a0 Timothy Henry<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Credit Suisse Securities (USA) LLC<\/td>\n<\/tr>\n
\u00a0 Kenneth Klaiman<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Deutsche Bank Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Ramon Perez<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 David Sauer<\/td>\n\u00a0 BGC Financial, L.P.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Michael Schunk<\/td>\n\u00a0 NYPPEX, LLC<\/td>\n<\/tr>\n
\u00a0 Commerce One Financial Inc.<\/td>\n<\/tr>\n
\u00a0 James Shelburne<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Incorporated<\/td>\n<\/tr>\n
\u00a0 Jamie Worden<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Salomon Whitney LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for September 2023, 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 Laurence Allen \u00a0 NYPPEX, LLC \u00a0 Northeast Securities, Inc. \u00a0 Joseph Desapio \u00a0 Spartan Capital Securities, LLC \u00a0 Worden Capital […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580],"tags":[],"class_list":["post-11196","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Brokers For Failing To Comply With Award September 2023<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2023, the following were suspended for failing 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