{"id":3062,"date":"2015-01-07T00:00:00","date_gmt":"2015-01-07T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules\/"},"modified":"2018-10-08T12:39:51","modified_gmt":"2018-10-08T16:39:51","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December, 2014, 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\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Joshua Robinson Ballinger<\/td>\nFifth Third Securities, Inc.<\/td>\n<\/tr>\n
Banc One Securities Corporation<\/td>\n<\/tr>\n
Patrick Ryan Bray<\/td>\nNewbridge Securities Corporation<\/td>\n<\/tr>\n
UBS Financial Services Inc.<\/td>\n<\/tr>\n
Jason Robert Buscaglia<\/td>\nMerrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
Joel William Carlson<\/td>\nSagepoint Financial, Inc.<\/td>\n<\/tr>\n
Sunamerica Securities, Inc.<\/td>\n<\/tr>\n
Charles Barnett Davis, Jr.<\/td>\nPeak Brokerage Services, LLC<\/td>\n<\/tr>\n
Cape Securities Inc.<\/td>\n<\/tr>\n
Turker Ergun<\/td>\nMerrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
Banc of America Investment Services, Inc .<\/td>\n<\/tr>\n
Derek Ryan Forrest<\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Lauren Gail Ganz<\/td>\nU.S. Bancorp Investments, Inc.<\/td>\n<\/tr>\n
Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
Gregory Evan Goldstein<\/td>\nMarguis Financial Services, Inc.<\/td>\n<\/tr>\n
Benson York Group, Inc.<\/td>\n<\/tr>\n
William Eric Hopkins, Sr.<\/td>\nWells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
David Scott Isolano<\/td>\nMax International Broker\/Dealer Corp.<\/td>\n<\/tr>\n
Secwest Securities, Inc.<\/td>\n<\/tr>\n
Matthew Thomas Kane<\/td>\nCCO Investment Services Corp.<\/td>\n<\/tr>\n
Santander Securities LLC<\/td>\n<\/tr>\n
Florence Rosenthal Klein<\/td>\nAmerican Classic Financial Company<\/td>\n<\/tr>\n
Gruntal & Co. Inc<\/td>\n<\/tr>\n
Brian Joseph Merrigan<\/td>\nWells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Bancwest Investment Services, Inc.<\/td>\n<\/tr>\n
Edward Thomas Murphy<\/td>\nWells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
Morgan Stanley DW Inc.<\/td>\n<\/tr>\n
Gurudeo Sukul Persaud<\/td>\nMoney Concepts Capital Corp<\/td>\n<\/tr>\n
Frank Anthony Quatararo, Jr.<\/td>\nGilford Securities Incorporated<\/td>\n<\/tr>\n
Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Anthony John Salino<\/td>\nBuckman, Buckman & Reid, Inc.<\/td>\n<\/tr>\n
Mercer Capital Ltd.<\/td>\n<\/tr>\n
Joseph Jared Sanchis<\/td>\nMorgan Stanley<\/td>\n<\/tr>\n
Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Brian Simone<\/td>\nSalomon Whitney LLC<\/td>\n<\/tr>\n
Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
Steven John Simone<\/td>\nSalomon Whitney LLC<\/td>\n<\/tr>\n
Westrock Advisors, Inc.<\/td>\n<\/tr>\n
Jeremy Gerald Tintle<\/td>\nOppenheimer & Co. Inc.<\/td>\n<\/tr>\n
Morgan Keegan & Company, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group<\/a> represents investors in securities and investment fraud cases.\u00a0 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>.\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 December, 2014, 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 Joshua Robinson Ballinger Fifth Third Securities, Inc. Banc One Securities Corporation Patrick Ryan Bray Newbridge Securities Corporation UBS Financial Services Inc. […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[609],"tags":[],"class_list":["post-3062","post","type-post","status-publish","format-standard","hentry","category-sales-practice-violations"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — January 7, 2015<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December, 2014, the following individuals were suspended from FINRA for failing to comply with a FINRA — January 7, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules\/\" \/>\n<meta name=\"twitter:card\" 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