{"id":11583,"date":"2024-11-20T12:33:31","date_gmt":"2024-11-20T17:33:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11583"},"modified":"2024-11-20T12:33:31","modified_gmt":"2024-11-20T17:33:31","slug":"finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-november-2024","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-november-2024\/","title":{"rendered":"FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November, 2024"},"content":{"rendered":"<p>According to FINRA Disciplinary actions for November, 2024, 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<table border=\"x\">\n<tbody>\n<tr>\n<td width=\"312\"><strong>NAME<\/strong><\/td>\n<td width=\"312\"><strong>FORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Helen Andrews<\/td>\n<td width=\"312\">Morgan Stanley<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">Barclays Capital Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Vincent Fuchs<\/td>\n<td width=\"312\">Steward Partners Investment Solutions, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Wentworth Gardner<\/td>\n<td width=\"312\">CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">AXA Advisors, LLC<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Colton Jacob<\/td>\n<td width=\"312\">Steward Partners Investment Solutions, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Gail Milon<\/td>\n<td width=\"312\">ELE Wealth Advisors, Inc.<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">MSI Financial Services, Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Michael Paesano<\/td>\n<td width=\"312\">Morgan Stanley<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">UBS Financial Services Inc.<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">David Page<\/td>\n<td width=\"312\">Spartan Capital Securities, LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">SW Financial<\/td>\n<\/tr>\n<tr>\n<td rowspan=\"2\" width=\"312\">Any Zwaan<\/td>\n<td width=\"312\">LPL Financial LLC<\/td>\n<\/tr>\n<tr>\n<td width=\"312\">Wealthplan Partners<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p> <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-november-2024\/#more-11583\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>According to FINRA Disciplinary actions for November, 2024, 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 Helen Andrews Morgan Stanley Barclays Capital Inc. Vincent Fuchs Steward Partners Investment Solutions, LLC Raymond James Financial Services, Inc. Wentworth Gardner [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11583","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Suspends Brokers For Failing To Comply November, 2024<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November, 2024, the following were suspended for failing to comply with an arbitration award or settlement agreement.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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