{"id":2648,"date":"2016-12-28T00:00:00","date_gmt":"2016-12-28T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-suspended-finra-december-2016-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:35","modified_gmt":"2018-10-08T16:37:35","slug":"registered-individuals-suspended-finra-december-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-finra-december-2016-failing-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in December 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for December 2016, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Keeland Douglas Howe<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Lawrence Love<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 James Michael Roberts<\/td>\n\u00a0 Cullum & Burks Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 WFP Securities<\/td>\n<\/tr>\n
\u00a0 Cary Rosenfeld<\/td>\n\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Investments, 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 December 2016, 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 Keeland Douglas Howe \u00a0 Wells Fargo Advisors, LLC \u00a0 UBS Financial Services Inc. \u00a0 Christopher Lawrence Love \u00a0 LPL Financial […]<\/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-2648","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in December 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 28, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 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