{"id":2803,"date":"2016-02-29T00:00:00","date_gmt":"2016-02-29T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-february-2016-failure-comply-finra-rules\/"},"modified":"2018-10-08T12:38:20","modified_gmt":"2018-10-08T16:38:20","slug":"finra-suspends-registered-individuals-february-2016-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-february-2016-failure-comply-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in February 2016 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for February 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Philip Wayne Conley<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Daniel Joseph Crowley<\/td>\n\u00a0 Equus Financial Consultings, LLC<\/td>\n<\/tr>\n
\u00a0 Rochdale Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Laurie Anne Facsina<\/td>\n\u00a0 LPL Financial, LLC<\/td>\n<\/tr>\n
\u00a0 Stratos Wealth Partners, LTD<\/td>\n<\/tr>\n
\u00a0 Daniel Steven Gedatus<\/td>\n\u00a0 RBC Dain Rauscher, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc.<\/td>\n<\/tr>\n
\u00a0 William Albert Hansen<\/td>\n\u00a0 Hudson Heritage Capital Management, INc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Aaron Leonard Heimowitz<\/td>\n\u00a0 Lantern Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp.<\/td>\n<\/tr>\n
\u00a0 Greg James Hilliard<\/td>\n\u00a0 Toussaint Capital Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Oppenheimer & Co, Inc.<\/td>\n<\/tr>\n
\u00a0 Thomas Wayne Ottman<\/td>\n\u00a0 Benjamin F. Edwards & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Feltl & Company<\/td>\n<\/tr>\n
\u00a0 Armando Wood<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services, 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 February 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 Philip Wayne Conley \u00a0 Merrill Lynch, Pierce, Fenner & Smith, Inc. \u00a0 Wells Fargo Advisors, LLC \u00a0 Daniel Joseph Crowley […]<\/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-2803","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in February 2016 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — February 29, 2016<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 2016, the 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