{"id":2657,"date":"2016-12-12T00:00:00","date_gmt":"2016-12-12T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-individuals-november-2016-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:39","modified_gmt":"2018-10-08T16:37:39","slug":"finra-suspends-individuals-november-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-november-2016-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Individuals in November 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for November 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\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 Scott Patrick Alcus<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Richard Edward Bohack<\/td>\n\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp.<\/td>\n<\/tr>\n
\u00a0 John Andrew Bredderman<\/td>\n\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Jon Christian Coleman<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Jay Todd Eurich<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Michael Dennis Hampton<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 John Harold Lohmeier<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Daniel Joseph Moniz<\/td>\n\u00a0 Revere Securities LLC<\/td>\n<\/tr>\n
\u00a0 Newport Coast Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jay Steven Sutherland<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Thomas John Tedeschi<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital LLC<\/td>\n<\/tr>\n
\u00a0 John Joseph Tillger, Jr.<\/td>\n\u00a0 CV Brokerage, Inc.<\/td>\n<\/tr>\n
\u00a0 Wharton Equity Corporation<\/td>\n<\/tr>\n
\u00a0 James Frederick Venditti<\/td>\n\u00a0 Infinex Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 LPL Financial 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 November 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 Scott Patrick Alcus \u00a0 Morgan Stanley Smith Barney \u00a0 Citigroup Global Markets Inc. \u00a0 Richard Edward Bohack \u00a0 Rockwell Global […]<\/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-2657","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals in November 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 12, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2016, the 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