{"id":5144,"date":"2017-11-30T10:14:12","date_gmt":"2017-11-30T15:14:12","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5144"},"modified":"2018-10-08T12:40:07","modified_gmt":"2018-10-08T16:40:07","slug":"september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/","title":{"rendered":"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Alvin Wayne Blancett<\/td>\n\u00a0 Raymond James Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Thomas M. Fayad<\/td>\n\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Peter Lappin<\/td>\n\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 New England Securities<\/td>\n<\/tr>\n
\u00a0 Nicholas Ronald MacNab<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 BB&T Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 George Henry Messier<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Great Heritage Investments, LLC<\/td>\n<\/tr>\n
\u00a0 Brian Moltz<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Gazmend Murtezi<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Brendan O\u2019Connell<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Arra Poghossian<\/td>\n\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Brent Morgan Porges<\/td>\n\u00a0 Meyers Associates, L.P.<\/td>\n<\/tr>\n
\u00a0 Newbridge Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Charles Courtney Sandoval<\/td>\n\u00a0 Allstate Financial Services, LLC<\/td>\n<\/tr>\n
\u00a0 SII Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 John Leo Valentine<\/td>\n\u00a0 Purshe Kaplan Sterling Investments<\/td>\n<\/tr>\n
\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

 <\/p>\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 September 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 Alvin Wayne Blancett \u00a0 Raymond James Financial Services, Inc. \u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc \u00a0 Thomas M. […]<\/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-5144","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nSeptember 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — November 30, 2017\" \/>\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\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017\" \/>\n<meta name=\"twitter:description\" content=\"According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — November 30, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017","description":"According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — November 30, 2017","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/","twitter_card":"summary_large_image","twitter_title":"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017","twitter_description":"According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — November 30, 2017","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/","url":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/","name":"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — November 30, 2017","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-11-30T15:14:12+00:00","dateModified":"2018-10-08T16:40:07+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — November 30, 2017","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/september-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5144","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=5144"}],"version-history":[{"count":4,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5144\/revisions"}],"predecessor-version":[{"id":7156,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/5144\/revisions\/7156"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=5144"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=5144"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=5144"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}