{"id":5846,"date":"2018-04-04T10:41:48","date_gmt":"2018-04-04T14:41:48","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5846"},"modified":"2018-04-04T10:41:48","modified_gmt":"2018-04-04T14:41:48","slug":"registered-individuals-suspended-finra-march-2018-failure-comply-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-finra-march-2018-failure-comply-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Kean Lynn Bouplon<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner &Smith\u00a0 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\u00a0 Justin Johnston Harris<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Steve Morris<\/td>\n\u00a0 Wynston Hill Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Halcyon Cabot Partners, LTD.<\/td>\n<\/tr>\n
\u00a0 Mark Allan Plummer<\/td>\n\u00a0 Chestnut Exploration Partners, Inc.<\/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","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 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 Kean Lynn Bouplon \u00a0 Morgan Stanley \u00a0 Merrill Lynch, Pierce, Fenner &Smith\u00a0 Inc. \u00a0 Craig Charles Franzke \u00a0 PNC Investments […]<\/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-5846","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 4, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2018, the 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