{"id":5760,"date":"2018-02-06T10:33:56","date_gmt":"2018-02-06T15:33:56","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5760"},"modified":"2018-07-16T08:31:58","modified_gmt":"2018-07-16T12:31:58","slug":"january-2018-finra-disciplinary-actions-name-registered-individuals-suspended-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/january-2018-finra-disciplinary-actions-name-registered-individuals-suspended-failing-comply-finra-rules\/","title":{"rendered":"January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2018, 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><\/p>\n<\/td>\n

\n

FORMER EMPLOYERS<\/strong><\/p>\n<\/td>\n<\/tr>\n

\u00a0 Timothy Clark Bryant<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Philip Orezio Fatta<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Blackbook Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Lee Allen Jenkins Jr.<\/td>\n\u00a0 Triad Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Wachovia Securities Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Rick Douglas Konecny<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Michael James McGraw<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Robert A. Perconte<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Philip Anthony Pizelo<\/td>\n\u00a0 Pacific West Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Great Northern Financial Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Michael Luciano Spinali<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Kevin Wayne Taylor<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Oppenheimer & Co. Inc.<\/td>\n<\/tr>\n
\u00a0 Gary Mark Zwetchkenbaum<\/td>\n\u00a0Gilford Securities Incorporated<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Silver Law Group 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.\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 January 2018, 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 Timothy Clark Bryant \u00a0 Ameriprise Financial Services, Inc. \u00a0 Wells Fargo Advisors, LLC \u00a0 Philip Orezio Fatta \u00a0 Spartan 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-5760","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nJanuary 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — February 6, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary 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