{"id":5741,"date":"2018-01-12T11:51:35","date_gmt":"2018-01-12T16:51:35","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5741"},"modified":"2018-01-12T11:56:58","modified_gmt":"2018-01-12T16:56:58","slug":"december-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/december-2017-finra-disciplinary-actions-suspend-registered-individuals-failure-comply-finra-rules\/","title":{"rendered":"December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jason N. Anderson<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Kovack Securities 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 Deborah E. Greenlee-Keck<\/td>\n\u00a0 Coastal Equities, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Manuel Tomas Paredes<\/td>\n\u00a0 Worden Capital Management LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Phillip Eugene Pistilli<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/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<\/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

 <\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for December 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 Jason N. Anderson \u00a0 IFS Securities \u00a0 Kovack Securities Inc. \u00a0 Johan Henrik Frisell \u00a0 Cambridge Investment Research, Inc. \u00a0 […]<\/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-5741","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nDecember 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 12, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA — January 12, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" 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