{"id":5157,"date":"2017-12-01T09:29:26","date_gmt":"2017-12-01T14:29:26","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=5157"},"modified":"2018-10-08T12:40:17","modified_gmt":"2018-10-08T16:40:17","slug":"registered-individuals-suspended-finra-november-2017-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-finra-november-2017-failure-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions<\/a> for November 2017, the following individuals were suspended from FINRA<\/a> 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Joseph Orazio Degregorio<\/td>\n\u00a0 Garden State Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 First Standard Financial Company LLC<\/td>\n<\/tr>\n
\u00a0 Valery Vitalievich Gurin<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Levi David Lindemann<\/td>\n\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Workman Securities Corporation<\/td>\n<\/tr>\n
\u00a0 John Scott Matthews<\/td>\n\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Equities Trading Corp<\/td>\n<\/tr>\n
\u00a0 Ataf Nabli<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Carrie Riley<\/td>\n\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Englebert Sarmiento<\/td>\n\u00a0 Network 1 Financial Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 E.J. Sterling, LLC<\/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 November 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 Joseph Orazio Degregorio \u00a0 Garden State Securities, Inc. \u00a0 First Standard Financial Company LLC \u00a0 Valery Vitalievich Gurin \u00a0 UBS […]<\/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-5157","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — December 1, 2017<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for 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