{"id":5151,"date":"2017-12-01T09:21:23","date_gmt":"2017-12-01T14:21:23","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5151"},"modified":"2018-10-08T12:40:12","modified_gmt":"2018-10-08T16:40:12","slug":"october-2017-finra-suspends-registered-individuals-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/october-2017-finra-suspends-registered-individuals-failing-comply-finra-rules\/","title":{"rendered":"In October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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\n\n\n\n\n\n\n\n
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 James Curtis Ackerman<\/td>\n\u00a0 Sloan Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Sloan Investment Advisors LLC<\/td>\n<\/tr>\n
\u00a0 David Charles Cannata<\/td>\n\u00a0 Craig Scott Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Brookstone Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Casella<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Michael Todd Clements<\/td>\n\u00a0 Intercoastal Capital Markets, Inc.<\/td>\n<\/tr>\n
\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 James Gabriel Collard<\/td>\n\u00a0 Managed Account Services, LLC<\/td>\n<\/tr>\n
\u00a0 VFinance Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Avelino Cortina III<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Citigroup Global Markets Inc.<\/td>\n<\/tr>\n
\u00a0 Tory A. Duggins<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Timothy Stephen Fannin<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Craig Charles Franzke<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 Natcity Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Johan Henrik Frisell<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Capital Wealth Strategies LLC<\/td>\n<\/tr>\n
\u00a0 Dwight O\u2019Neal Fulton Jr.<\/td>\n\u00a0 Emmett A. Larkin Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Brookshire Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Gerard Chandler Gremillion<\/td>\n\u00a0 ProFinancial, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Dean Martin<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley & Co., Inc.<\/td>\n<\/tr>\n
\u00a0 Christopher Russell McNamee<\/td>\n\u00a0 Dakota Securities International, Inc.<\/td>\n<\/tr>\n
\u00a0 Sterling Financial Investment Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Farid Morim<\/td>\n\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Chase Investment Services Corp.<\/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 Fredrick Deon Reagan<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/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 October 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 James Curtis Ackerman \u00a0 Sloan Securities Corp. \u00a0 Sloan Investment Advisors LLC \u00a0 David Charles Cannata \u00a0 Craig Scott Capital, […]<\/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-5151","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 1, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2017, 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