{"id":2471,"date":"2017-06-19T00:00:00","date_gmt":"2017-06-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/may-2017-finra-suspends-registered-individuals-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:14","modified_gmt":"2018-10-08T16:37:14","slug":"may-2017-finra-suspends-registered-individuals-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/may-2017-finra-suspends-registered-individuals-failing-comply-finra-rules\/","title":{"rendered":"In May 2017 FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a>, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Fred Ronald Brown<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Joseph Burke III<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services INc.<\/td>\n<\/tr>\n
\u00a0 Joseph Christopher Delaura<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Dennis Hampton<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Raul Enrique Jacobs<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 T2 Asset Management, LLC<\/td>\n<\/tr>\n
\u00a0 David Ladin<\/td>\n\u00a0 CUNA Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 Gregory Marcel Martino<\/td>\n\u00a0 Blackbook Capital LLC<\/td>\n<\/tr>\n
\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 J-Thaddeus Peter McGaffey<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Richard James Murphy<\/td>\n\u00a0 Tullett Prebon Financial Services LLC<\/td>\n<\/tr>\n
\u00a0 Citation Financial Group, LP<\/td>\n<\/tr>\n
\u00a0 Joseph Dominick Quinzi<\/td>\n\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, LP<\/td>\n<\/tr>\n
\u00a0 Englebert Sarmiento<\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 EJ Sterling, LLC<\/td>\n<\/tr>\n
\u00a0 Laurence Michael Torres<\/td>\n\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, LP<\/td>\n<\/tr>\n
\u00a0 Larry Michael Underwood Jr.<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 A.G. Edwards & Sons, Inc.<\/td>\n<\/tr>\n
\u00a0 Troy William West<\/td>\n\u00a0 Innovation Partners LLC<\/td>\n<\/tr>\n
\u00a0 Regulus Advisors, LLC<\/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><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions, 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 Fred Ronald Brown \u00a0 UBS Financial Services Inc. \u00a0 Morgan Stanley & Co. Inc. \u00a0 Robert Joseph Burke III \u00a0 Suntrust Investment Services, […]<\/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-2471","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn May 2017 FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 19, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or — June 19, 2017\" \/>\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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