{"id":2468,"date":"2017-07-07T00:00:00","date_gmt":"2017-07-07T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/june-2017-finra-suspends-registered-individuals-failing-comply-finra-rules\/"},"modified":"2018-10-30T14:23:15","modified_gmt":"2018-10-30T18:23:15","slug":"june-2017-finra-suspends-registered-individuals-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/june-2017-finra-suspends-registered-individuals-failing-comply-finra-rules\/","title":{"rendered":"In June 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 2017, the following individuals were suspended from FINRA<\/a> 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\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 Kimberly Aylesworth<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Roger Ericson Bell<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Reuven Blank<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Patrick Ryan Bray<\/td>\n\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Richard Lyndon Brown<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Brian Richardson Castillo<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Silver Oak Wealth Management<\/td>\n<\/tr>\n
\u00a0 Daniel Harry Curkan<\/td>\n\u00a0 Sigma Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Donald Gene Dewaay Jr.<\/td>\n\u00a0 Dewaay Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 VSR Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Andrew Goodman<\/td>\n\u00a0 Jackson National Life Distributors LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Randall Johnson<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jose A. Landin Jr.<\/td>\n\u00a0 BBVA Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Adam Benjamin Mayfield<\/td>\n\u00a0 Cetera Advisor Networks LLC<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Jason Todd Meil<\/td>\n\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Clifford Todd Morgan<\/td>\n\u00a0 Advanced Planning Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Nations Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Manuel Tomas Paredes<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Marc Harold Pearl<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Casey Thomas Rodriguez<\/td>\n\u00a0 Arive Capital Markets<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 David Aaron Seigerman<\/td>\n\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Jeffery Hunter Smith<\/td>\n\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Labron Manosa Toles<\/td>\n\u00a0 Rothschild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Steven Michael Wisniewski<\/td>\n\u00a0 Newbridge Securities Corp<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases through FINRA arbitration or court.\u00a0 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<\/a>.\u00a0 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.<\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 2017, 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 Kimberly Aylesworth \u00a0 Morgan Stanley \u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc. \u00a0 Roger Ericson Bell \u00a0 UBS Financial […]<\/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-2468","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn June 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 7, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2017, the following 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