{"id":2876,"date":"2015-12-01T00:00:00","date_gmt":"2015-12-01T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-individuals-for-failure-to-comply-with-finra-rules-in-november-2015\/"},"modified":"2021-03-29T14:02:11","modified_gmt":"2021-03-29T18:02:11","slug":"finra-suspends-individuals-for-failure-to-comply-with-finra-rules-in-november-2015","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-individuals-for-failure-to-comply-with-finra-rules-in-november-2015\/","title":{"rendered":"FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015"},"content":{"rendered":"

According to FINRA Disciplinary actions for November 2015, the following individuals were suspended from FINRA 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

NAME<\/strong><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Enver Rahman Alijaj<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Legend Securities, Inc.<\/td>\n<\/tr>\n
\u00a0\u00a0Christopher R. Barber<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Anthony Ryan Dutter<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/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
\u00a0 William Benton Guido<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 FSC Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Joseph Kennon Jayne<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael David Lee<\/td>\n\u00a0 Newport Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 American Financial Systems<\/td>\n<\/tr>\n
\u00a0 George Henry Lucker III<\/td>\n\u00a0 Wells Fargo Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Daniel Richard Mignone<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Berthel, Fisher & Company Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Kenneth Charles Miles<\/td>\n\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Private Asset Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Cornelia S. O\u2019Grady<\/td>\n\u00a0 Bank of America, N.A.<\/td>\n<\/tr>\n
\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 David Allen Palmer<\/td>\n\u00a0 USAA Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Darin Richard Pastor<\/td>\n\u00a0 Courtlandt Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Chelsea Financial Services<\/td>\n<\/tr>\n
\u00a0 Nicholas Vito Ragone<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0\u00a0Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Gary Alan Schwarcz<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Ritchey Jon Wetzel<\/td>\n\u00a0 U.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Michael R. Wilt<\/td>\n\u00a0 AMP Wealth Management<\/td>\n<\/tr>\n
\u00a0 Cedar Creek Securities, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases<\/a>. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct<\/a>. 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 November 2015, 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 Enver Rahman Alijaj \u00a0 Avenir Financial Group \u00a0 Legend Securities, Inc. \u00a0\u00a0Christopher R. Barber \u00a0 Morgan Stanley Smith Barney \u00a0 […]<\/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-2876","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015 — Securities Arbitration Lawyers Blog — December 1, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November 2015, the following individuals were suspended from FINRA for failing to comply with a FINRA — December 1, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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