{"id":2745,"date":"2016-07-29T00:00:00","date_gmt":"2016-07-29T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/registered-individuals-suspended-finra-june-2016-failing-comply-finra-rules\/"},"modified":"2019-12-30T11:41:39","modified_gmt":"2019-12-30T16:41:39","slug":"registered-individuals-suspended-finra-june-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-finra-june-2016-failing-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in June 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for June 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\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 Barry Boyd Blount, Sr.<\/td>\n\u00a0 Insight Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Michael Carrino, Jr.<\/td>\n\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Victor Rosario Cassone<\/td>\n\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Pacific West Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 John F. Gannon<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Clarence Kennedy<\/td>\n\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Liberty Tree Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 William Francis Lex<\/td>\n\u00a0 Dinosaur Securities, LLC<\/td>\n<\/tr>\n
\u00a0 McGinn, Smith & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Lewis Joseph Lucarine<\/td>\n\u00a0 State Farm VP Management Corp<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Brian Joseph Merrigan<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 BancWest Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Nicholas McCauley Messore<\/td>\n\u00a0 LPL Financail LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 James Marvin Mitchell<\/td>\n\u00a0 CBS Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Community Bankers Securities, LLC<\/td>\n<\/tr>\n
\u00a0 David Harold Noe<\/td>\n\u00a0 GunnAllen Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Birchtree Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Painter<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Carrie Riley<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Joseph Richard Rizzo, Jr.<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 David Aaron Seigerman<\/td>\n\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 William Victor Siegel<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Steven Craig Spitts<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Dean Witter Reynolds Inc.<\/td>\n<\/tr>\n
\u00a0 Jeff David Snyder<\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Carey Charles Stevens<\/td>\n\u00a0 Ridgeway & Conger, Inc.<\/td>\n<\/tr>\n
\u00a0 KCD Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Gary Lee Wright<\/td>\n\u00a0 Pensionmark Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Robert W. Baird & Co. 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 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 Barry Boyd Blount, Sr. \u00a0 Insight Advisors, LLC \u00a0 Ameriprise Financial Services, Inc. \u00a0 Joseph Michael Carrino, Jr. \u00a0 Brookstone […]<\/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-2745","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in June 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 29, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2016, the 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