{"id":5131,"date":"2017-11-29T16:50:35","date_gmt":"2017-11-29T21:50:35","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5131"},"modified":"2022-05-09T13:13:04","modified_gmt":"2022-05-09T17:13:04","slug":"registered-individuals-suspended-july-2017-finra-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-july-2017-finra-failing-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended in July 2017 by FINRA for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 2017, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
<\/td>\n<\/td>\n<\/tr>\n
<\/td>\n<\/tr>\n
\u00a0 Thomas Michael DiLello, Jr.<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Atlantic Capital Advisors<\/td>\n<\/tr>\n
\u00a0 Niaz Elmazi<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 HFP Capital Markets LLC<\/td>\n<\/tr>\n
\u00a0 James Benjamin Fellus<\/td>\n\u00a0 Spencer-Winston Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Nexlend Capital Partners<\/td>\n<\/tr>\n
\u00a0 Nancy Putnam Griffith<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Brian Joseph Hagerman<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Equities Trading Corp<\/td>\n<\/tr>\n
\u00a0 Justin Linwood Hendrick<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 First Citizens Investor Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Joseph Kerrigan, Sr.<\/td>\n\u00a0 First Financial Equity Corporation<\/td>\n<\/tr>\n
\u00a0 Personal Wealth Mgmt Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Brent Morgan Porges<\/td>\n\u00a0 Meyers Associates, LP<\/td>\n<\/tr>\n
\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Scott Paul Strochak<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 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 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 July 2017, 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 Thomas Michael DiLello, Jr. \u00a0 LPL Financial LLC \u00a0 Atlantic Capital Advisors \u00a0 Niaz Elmazi \u00a0 Global Arena Capital Corp […]<\/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-5131","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended in July 2017 by FINRA for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 29, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for July 2017, the following 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