{"id":2772,"date":"2016-04-21T00:00:00","date_gmt":"2016-04-21T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-individuals-april-2016-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:38:06","modified_gmt":"2018-10-08T16:38:06","slug":"finra-suspends-individuals-april-2016-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-april-2016-failure-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Individuals in April 2016 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for April 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 Russell Andrew Carbonara<\/td>\n\u00a0 Pinebridge Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Aria Capital Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Roger Briggs Coe, Jr.<\/td>\n\u00a0 Gate US, LLC<\/td>\n<\/tr>\n
\u00a0 Zealous Capital Markets, LLC<\/td>\n<\/tr>\n
\u00a0 Jerrid Jemal Douglas<\/td>\n\u00a0 Barclays Capital Inc.<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Terry Lee Haggerty<\/td>\n\u00a0 Penvest Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 BB Graham & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Mark David Holt<\/td>\n\u00a0 Harbour Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Geneos Wealth Management, Inc.<\/td>\n<\/tr>\n
\u00a0 Pil Sang Hwang<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Phillips & Company Securities<\/td>\n<\/tr>\n
\u00a0 Robert John Matarazzo, Jr.<\/td>\n\u00a0 Waddell & Reed, Inc.<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/td>\n<\/tr>\n
\u00a0 James Kenneth Maurice<\/td>\n\u00a0 Wachovia Securities, LLC<\/td>\n<\/tr>\n
\u00a0 A.G. Edwards & Sons, Inc.<\/td>\n<\/tr>\n
\u00a0 Bahram Mirhashemi<\/td>\n\u00a0 Accelerated Capital Group<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Charles J. Moore<\/td>\n\u00a0 Achilles Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Crucible Capital Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Joshua James Nanci<\/td>\n\u00a0 Foreside Fund Services, LLC<\/td>\n<\/tr>\n
\u00a0 Aria Capital Advisors, 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 April 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 Russell Andrew Carbonara \u00a0 Pinebridge Securities, LLC \u00a0 Aria Capital Advisors, LLC \u00a0 Roger Briggs Coe, Jr. \u00a0 Gate US, […]<\/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-2772","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals in April 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 21, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2016, the following individuals 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