{"id":5936,"date":"2018-05-08T11:55:58","date_gmt":"2018-05-08T15:55:58","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5936"},"modified":"2018-05-08T11:56:13","modified_gmt":"2018-05-08T15:56:13","slug":"individuals-suspended-by-finra-in-april-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/individuals-suspended-by-finra-in-april-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Robert Thomas Anderson<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Li-Lin Hsu<\/td>\n\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 Transglobal Advisory, LLC<\/td>\n<\/tr>\n
\u00a0 Michael David Lee<\/td>\n\u00a0 Newport Group Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 The Leaders Group, Inc.<\/td>\n<\/tr>\n
\u00a0 Jeffrey David Miller<\/td>\n\u00a0 LEK Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Mitchell Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Carlos Antonio Rodriquez<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith 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

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

According to FINRA Disciplinary actions for April 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 Robert Thomas Anderson \u00a0 Wells Fargo Advisors, LLC \u00a0 UBS Financial Services Inc \u00a0 Li-Lin Hsu \u00a0 Ameriprise Financial Services […]<\/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-5936","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIndividuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — May 8, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2018, the following 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