{"id":2579,"date":"2017-02-17T00:00:00","date_gmt":"2017-02-17T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-suspended-finra-february-2017-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:37:28","modified_gmt":"2018-10-08T16:37:28","slug":"registered-individuals-suspended-finra-february-2017-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-finra-february-2017-failure-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in February 2017 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for February 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Michael Allen Becking<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0\u00a0\u00a0 Vladimir Belyaev<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 Alina Brindusescu<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Louis Capone<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 WM Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Mckyle Clyburn<\/td>\n\u00a0 GunnAllen Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Maximum Financial Investment Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Ronald Scott Cole<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Willard Lee Golightly<\/td>\n\u00a0 Kelly Compton Investments LLC<\/td>\n<\/tr>\n
\u00a0 SCF Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Gerard Chandler Gremillion<\/td>\n\u00a0 Profinancial, Inc.<\/td>\n<\/tr>\n
\u00a0 Chad Gremillion<\/td>\n<\/tr>\n
\u00a0 Ross H. Mandell<\/td>\n\u00a0 Sky Capital LLC<\/td>\n<\/tr>\n
\u00a0 Granta Capital Group LLC<\/td>\n<\/tr>\n
\u00a0 Dan Moss Jr.<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Manoj Pataudi Mudgal<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/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 Drew Anthony Romeo<\/td>\n\u00a0 Morgan Stanely<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Rob Salinger<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner and Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Michael David Schwartz<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner and Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Barclays Capital Inc.<\/td>\n<\/tr>\n
\u00a0 Leonard Gregory Stover<\/td>\n\u00a0 Cetera Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Joe Don Treece<\/td>\n\u00a0 Arvest Wealth Management<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Robert Vanstelle<\/td>\n\u00a0 Steelpoint Securities, LLC<\/td>\n<\/tr>\n
\u00a0 WBB Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Stephen Arnold Vaughan<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Advisor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Richard Diego Vega<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/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 February 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 Allen Becking \u00a0 Wells Fargo Advisors, LLC \u00a0 Chase Investment Services Corp. \u00a0\u00a0\u00a0 Vladimir Belyaev \u00a0 Avenir Financial Group […]<\/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-2579","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in February 2017 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — February 17, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions 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