{"id":3065,"date":"2014-12-30T00:00:00","date_gmt":"2014-12-30T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-3\/"},"modified":"2018-10-08T12:39:53","modified_gmt":"2018-10-08T16:39:53","slug":"finra-suspends-registered-individuals-for-violations-of-finra-rules-3","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-violations-of-finra-rules-3\/","title":{"rendered":"FINRA Suspends Registered Individuals for Violations of FINRA Rules – 3"},"content":{"rendered":"

According to FINRA Disciplinary actions for November, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
Niyukt Raghu Bhasin<\/td>\nNSM Securities, Inc.<\/td>\n<\/tr>\n
Max International Broker\/Dealer Corp.<\/td>\n<\/tr>\n
William Dean Chapman, Jr.<\/td>\nAlexander Capital Advisers<\/td>\n<\/tr>\n
Ronald Moschetta<\/td>\nTodd and Company, Inc.<\/td>\n<\/tr>\n
Strasbourger Pearson Tulcin Wolff Inc.<\/td>\n<\/tr>\n
Arthur James Penna<\/td>\nEagle One Investments, LLC<\/td>\n<\/tr>\n
ING Financial Partners, Inc.<\/td>\n<\/tr>\n
Wayne Timothy Roys<\/td>\nFirst National Capital Markets<\/td>\n<\/tr>\n
Key Investment Services LLC<\/td>\n<\/tr>\n
Matthew Albert Ryer<\/td>\nAvenir Financial Group<\/td>\n<\/tr>\n
Blackwall Capital Markets, Inc.<\/td>\n<\/tr>\n
Matthew A. Tarrance<\/td>\nWells Fargo Advisors, LLC<\/td>\n<\/tr>\n
Merrill Lynch, Pierce, Fenner & Smith 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 November, 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 Niyukt Raghu Bhasin NSM Securities, Inc. Max International Broker\/Dealer Corp. William Dean Chapman, Jr. Alexander Capital Advisers Ronald Moschetta Todd and […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[],"class_list":["post-3065","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration"],"yoast_head":"\nFINRA Suspends Registered Individuals for Violations of FINRA Rules - 3 — Securities Arbitration Lawyers Blog — December 30, 2014<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for November, 2014, the following individuals were suspended from FINRA for failing to comply with a FINRA — December 30, 2014\" \/>\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-3\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Registered Individuals for Violations of FINRA Rules - 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