{"id":2513,"date":"2017-05-08T00:00:00","date_gmt":"2017-05-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/april-2017-finra-disciplinary-actions-suspend-registered-individuals-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:21","modified_gmt":"2018-10-08T16:37:21","slug":"april-2017-finra-disciplinary-actions-suspend-registered-individuals-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/april-2017-finra-disciplinary-actions-suspend-registered-individuals-failing-comply-finra-rules\/","title":{"rendered":"April 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Adam Christopher Boynton<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Olori Dennis Hamilton<\/td>\n\u00a0 Woodstock Financial Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital LLC<\/td>\n<\/tr>\n
\u00a0 Jeffrey G. Lyon<\/td>\n\u00a0 Joseph Gunnar & Co. LLC<\/td>\n<\/tr>\n
\u00a0 Charles Vista LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Keenan Michelman<\/td>\n\u00a0 Rothschild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 PHX Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Anthony Minerva<\/td>\n\u00a0 Richard James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 J.D. Nicholas & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Russell Leo Sadler<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Philip Jameson Staff<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Scott Paul Strochak<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Donald Lee Watson Jr.<\/td>\n\u00a0 The Jeffrey Matthews Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicolaus & Company , Inc.<\/td>\n<\/tr>\n
\u00a0 Patrick Justin White, Sr.<\/td>\n\u00a0 Laidlaw & Company (UK) Ltd.<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital 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 for April 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 Adam Christopher Boynton \u00a0 Morgan Stanley \u00a0 Wells Fargo Advisors, LLC \u00a0 Olori Dennis Hamilton \u00a0 Woodstock Financial Group, Inc. […]<\/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-2513","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nApril 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — May 8, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration — May 8, 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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