{"id":2611,"date":"2017-01-23T00:00:00","date_gmt":"2017-01-23T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-january-2017-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:32","modified_gmt":"2018-10-08T16:37:32","slug":"finra-suspends-registered-individuals-january-2017-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-january-2017-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in January 2017 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for January 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 James Patrick Acosta<\/td>\n\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Terrence Daniels<\/td>\n\u00a0 MSI Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Darnell Anthony Deans<\/td>\n\u00a0 Blackbook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 John Carris Investments LLC<\/td>\n<\/tr>\n
\u00a0 Barbara Lucille Desiderio<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Herbert J. Sims & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Ellison<\/td>\n\u00a0 Mutual\u00a0 Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Beverly Hills Wealth Management LLC<\/td>\n<\/tr>\n
\u00a0 Niaz Elmazi<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 Brian Joseph Hagerman<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Equities Trading Corp<\/td>\n<\/tr>\n
\u00a0 Candice Joy Hutton<\/td>\n\u00a0 Hutton Wealth Management Servcies, LLC<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/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 Jeffrey Allen Rehling<\/td>\n\u00a0 Lincoln Financial Advisors<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Keith Patrick Sequeira<\/td>\n\u00a0 Royal Alliance Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Penne Wilson Stafford<\/td>\n\u00a0 Woodbury Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Vincent Evan Wilson<\/td>\n\u00a0 Wilbanks Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo 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 for January 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 James Patrick Acosta \u00a0 Citigroup Global Markets Inc. \u00a0 Morgan Stanley Smith Barney \u00a0 Terrence Daniels \u00a0 MSI Financial 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-2611","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in January 2017 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 23, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for January 2017, 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