{"id":5819,"date":"2018-03-06T11:07:14","date_gmt":"2018-03-06T16:07:14","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5819"},"modified":"2018-07-13T15:52:00","modified_gmt":"2018-07-13T19:52:00","slug":"finra-disciplinary-actions-february-2018-name-registered-individuals-suspended-failing-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-february-2018-name-registered-individuals-suspended-failing-comply-finra-rules\/","title":{"rendered":"FINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 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
\n

NAME<\/strong><\/p>\n<\/td>\n

\n

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

\u00a0 Patrick John Auckland<\/td>\n\u00a0 TIAA-CREF Individual & Institutional Services, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Michael Albert DiPietro<\/td>\n\u00a0 Transamerica Financial Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Centaurus Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Laurie Anne Facsina<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Stratos Wealth Partners, Ltd<\/td>\n<\/tr>\n
\u00a0 Joseph Manuel Focil<\/td>\n\u00a0 Wedbush Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Christopher Lee Goslin<\/td>\n\u00a0 Harbor Light Securities, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Turner & Company, LLC<\/td>\n<\/tr>\n
\u00a0 Matthew Grady<\/td>\n\u00a0 Millstone Wealth Partners, LLC<\/td>\n<\/tr>\n
\u00a0 Barclays Capital Inc.<\/td>\n<\/tr>\n
\u00a0 Anthony Minerva<\/td>\n\u00a0 Richard James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 J.D. Nicholas & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 James William Stanton Jr.<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Morris Thurnherr<\/td>\n\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Windsor Street Capital, LP<\/td>\n<\/tr>\n
\u00a0 Darren Thomas Walton<\/td>\n\u00a0 Capital Synergy Partners<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\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 February 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 Patrick John Auckland \u00a0 TIAA-CREF Individual & Institutional Services, LLC \u00a0 Morgan Stanley \u00a0 Michael Albert DiPietro \u00a0 Transamerica Financial […]<\/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-5819","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — March 6, 2018<\/title>\n<meta name=\"description\" content=\"According to 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