{"id":2730,"date":"2016-08-09T00:00:00","date_gmt":"2016-08-09T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-july-2016-failing-comply-finra-rules\/"},"modified":"2024-07-16T08:34:52","modified_gmt":"2024-07-16T12:34:52","slug":"finra-suspends-registered-individuals-july-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-july-2016-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in July 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for July 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Robert Joseph Altemus<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Britt Doyle<\/td>\n\u00a0 Sanctuary Securities, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Richard Lee Ewalt<\/td>\n\u00a0 BB&T Investment Services Inc.<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 John Fairfield<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 George John Gilbert<\/td>\n\u00a0 Allied Beacon Partners, Inc.<\/td>\n<\/tr>\n
\u00a0 Community Bankers Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Brendan O\u2019Connell<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Warren Marc Rockmacher<\/td>\n\u00a0 Investacorp, Inc.<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/td>\n<\/tr>\n
\u00a0 Terry Gerard Roussel<\/td>\n\u00a0 Pacific Cornerstone Capital Incorporated<\/td>\n<\/tr>\n
\u00a0 Private Investors Equity Group<\/td>\n<\/tr>\n
\u00a0 Jonathan Michael Sheklow<\/td>\n\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for July 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 Robert Joseph Altemus \u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc \u00a0 Citigroup Global Markets Inc. \u00a0 Michael Britt Doyle […]<\/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-2730","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in July 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — August 9, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2016, the following 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