{"id":2780,"date":"2016-03-30T00:00:00","date_gmt":"2016-03-30T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-individuals-march-2016-failing-comply-finra-rules\/"},"modified":"2018-10-08T12:38:13","modified_gmt":"2018-10-08T16:38:13","slug":"finra-suspends-individuals-march-2016-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-march-2016-failing-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Individuals in March 2016 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for March 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 Woodley Hannon Bagwell, Jr.<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Steven Lloyd Colvin<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 William Braden Crumrine III<\/td>\n\u00a0 American Portfolios Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Mid Atlantic Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Robert Gail Dull<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 William Lawrence Eisner<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 John Scot Galinsky<\/td>\n\u00a0 Fintegra, LLC<\/td>\n<\/tr>\n
\u00a0 Advanced Equities, Inc.<\/td>\n<\/tr>\n
\u00a0Christos Angelo Kalatoudis<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0John Gerald Muir IV<\/td>\n\u00a0 Aegis Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Patrick Steven Nelson<\/td>\n\u00a0 Steven L. Falk & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 White Pacific Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Luciano Spinali<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Henry Edward Wasserman III<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Jeffrey Lee Whitaker<\/td>\n\u00a0 Capital Wealth Planning, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo 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>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 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 Woodley Hannon Bagwell, Jr. \u00a0 Raymond James & Associates, Inc. \u00a0 Morgan Keegan & Company, Inc. \u00a0 Steven Lloyd Colvin […]<\/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-2780","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals in March 2016 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 30, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2016, the following individuals were 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