{"id":2534,"date":"2017-04-04T00:00:00","date_gmt":"2017-04-04T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/march-2017-finra-suspends-registered-individuals-violations-finra-rules\/"},"modified":"2019-12-13T16:34:25","modified_gmt":"2019-12-13T21:34:25","slug":"march-2017-finra-suspends-registered-individuals-violations-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/march-2017-finra-suspends-registered-individuals-violations-finra-rules\/","title":{"rendered":"In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for March 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 Michael David Charest<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 CCO Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 William Thomas Eaton<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Jason Francis Edwards<\/td>\n\u00a0 J.P Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 SII Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Wayne Fitzgerald Ford<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Robert M. Hirsch<\/td>\n\u00a0 T3 Trading Group, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Arthur Kenneth King IV<\/td>\n\u00a0 First Empire Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Stifel, Nicolaus & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Nicholas McCauley Messore<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Andrew Joseph Niehus<\/td>\n\u00a0 ULU Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 William A. Van Ormer III<\/td>\n\u00a0 Voya Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Darin Richard Pastor<\/td>\n\u00a0 Courtlandt Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Capstone Affluent Strategies<\/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 March 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 Michael David Charest \u00a0 Citizens Securities, Inc. \u00a0 CCO Investment Services Corp. \u00a0 William Thomas Eaton \u00a0 LPL Financial LLC […]<\/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-2534","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — April 4, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2017, the following 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