{"id":6190,"date":"2018-07-09T15:37:54","date_gmt":"2018-07-09T19:37:54","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6190"},"modified":"2018-07-09T15:47:30","modified_gmt":"2018-07-09T19:47:30","slug":"finra-suspends-registered-individuals-in-june-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-june-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in June 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Daniel Harry Curkan<\/td>\n\u00a0 Sigma Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Diaz, Anthony<\/td>\n\u00a0 IBN Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Sandlapper Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Brandon Avery Duncan<\/td>\n\u00a0 Royal Alliance Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Timothy Stephen Fannin<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Michael P. Gopie<\/td>\n\u00a0 AXA Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Louis Karl Kittlaus<\/td>\n\u00a0 Wall Street Strategies, Inc<\/td>\n<\/tr>\n
\u00a0 Edwin C. Blitz Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Michael Scott Lavolpe<\/td>\n\u00a0 Meyers Associates, LP<\/td>\n<\/tr>\n
\u00a0 Robert M Marks Jr.<\/td>\n\u00a0 Cape Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Synergy Investment Group, 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 Curtis Dean Milakovich<\/td>\n\u00a0 Kovack Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Lincoln Investment<\/td>\n<\/tr>\n
\u00a0 Matthew Jacob Paparazzo<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities 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

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.<\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for June 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 Daniel Harry Curkan \u00a0 Sigma Financial Corporation \u00a0 Morgan Stanley \u00a0 Diaz, Anthony \u00a0 IBN Financial Services, Inc \u00a0 Sandlapper […]<\/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-6190","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in June 2018 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 9, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2018, the 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