{"id":2679,"date":"2016-11-04T00:00:00","date_gmt":"2016-11-04T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-october-2016-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:37:45","modified_gmt":"2018-10-08T16:37:45","slug":"finra-suspends-registered-individuals-october-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-october-2016-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 George William Carris<\/td>\n\u00a0 John Carris Investments LLC<\/td>\n<\/tr>\n
\u00a0 Brockington Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Kevin Clark<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Jason Robert Diaz<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Garden State Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Gregory Flemming Jr.<\/td>\n\u00a0 Salomon Whitney Financial<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Christopher John Gimblet<\/td>\n\u00a0 SWBC Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Halen Capital<\/td>\n<\/tr>\n
\u00a0 David Alan Lavine<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Derek Lee Miller<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Steven Nelson<\/td>\n<\/td>\n<\/tr>\n
\u00a0 Hector Perez<\/td>\n\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Naseem Mohammed Salamah<\/td>\n\u00a0 Ninepoint Advisors<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Wesley Wayne Shaw<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Lance E. Slater<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Paul Strochak<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/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 October 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 George William Carris \u00a0 John Carris Investments LLC \u00a0 Brockington Securities, Inc. \u00a0 Michael Kevin Clark \u00a0 Jason Robert Diaz […]<\/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-2679","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 4, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2016, the 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