{"id":6034,"date":"2018-06-04T09:30:31","date_gmt":"2018-06-04T13:30:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6034"},"modified":"2019-06-13T08:21:26","modified_gmt":"2019-06-13T12:21:26","slug":"may-2018-disciplinary-actions-from-finra-name-individuals-suspended-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/may-2018-disciplinary-actions-from-finra-name-individuals-suspended-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"May 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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\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 Lawrence Joseph Alfano<\/td>\n\u00a0 Blackbook Capital LLC<\/td>\n<\/tr>\n
\u00a0 EKN Financial Services INC<\/td>\n<\/tr>\n
\u00a0 Terry Dean Bahgat<\/td>\n\u00a0 Gradient Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc<\/td>\n<\/tr>\n
\u00a0 Matthew Wayne Bailey<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Christopher John Calandrino<\/td>\n\u00a0 Joseph Stone Capital L.L.C.<\/td>\n<\/tr>\n
\u00a0 National Securities Corp.<\/td>\n<\/tr>\n
\u00a0 Richard Grant Cody<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Barry Franklin Connell<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 James Fillmore Crawford Jr.<\/td>\n\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Independent Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Rick Douglas Konency<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Jonathan Richard Lake<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
\u00a0 Maroof Miyana<\/td>\n\u00a0 Legend Securities, Inc<\/td>\n<\/tr>\n
\u00a0 IAA Financial LLC<\/td>\n<\/tr>\n
\u00a0 Roberto Montano<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 U.S. Bancorp Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Michael Jay Novick<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Beverly Hills Wealth Management, LLC<\/td>\n<\/tr>\n
\u00a0 David Warren Olson<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Jason Charles Parker<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 James Albert Pettit<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Janney Montgomery Scott LLC<\/td>\n<\/tr>\n
\u00a0 Jose Aloisio Teles<\/td>\n\u00a0 Nomura Securities International, Inc<\/td>\n<\/tr>\n
\u00a0 Standard Chartered Bank<\/td>\n<\/tr>\n
\u00a0 Jacques Tizabi<\/td>\n\u00a0 Astor Capital, Inc<\/td>\n<\/tr>\n
\u00a0 Round Hill Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Christopher Thomas Tolmacs<\/td>\n\u00a0 Triad Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 Harbinger Asset Management, LLC<\/td>\n<\/tr>\n
\u00a0 Bhaskar Chandrakant Vyas<\/td>\n\u00a0 Interfirst Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Western International Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Mark Edward Winburne<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Metlife Securities, 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

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

According to FINRA Disciplinary actions for May 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 Lawrence Joseph Alfano \u00a0 Blackbook Capital LLC \u00a0 EKN Financial Services INC \u00a0 Terry Dean Bahgat \u00a0 Gradient Securities, LLC […]<\/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-6034","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nMay 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — June 4, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for May 2018, the 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