{"id":6440,"date":"2018-08-28T14:20:59","date_gmt":"2018-08-28T18:20:59","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6440"},"modified":"2018-08-28T14:20:59","modified_gmt":"2018-08-28T18:20:59","slug":"finra-names-registered-individuals-suspended-in-august-2018-for-violations-of-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-registered-individuals-suspended-in-august-2018-for-violations-of-finra-rules\/","title":{"rendered":"FINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for August 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

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

\n

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

\u00a0 Thomas Bennett<\/td>\n\u00a0 Bancwest Investment Services, Inc<\/td>\n<\/tr>\n
\u00a0 U.S. Bancorp Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Eddy Blizzard<\/td>\n\u00a0 Suntrust Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 M & T Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Vincent Canzoneri<\/td>\n\u00a0 Sigma Financial Corporation<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Barry Connell<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Charles Cox<\/td>\n\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Chase investment Services Corp<\/td>\n<\/tr>\n
\u00a0 Shane Dawkins<\/td>\n\u00a0 Westpark Capital<\/td>\n<\/tr>\n
\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Mark Flanagan<\/td>\n\u00a0 Citigroup Global Markets Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Donald Gambony III<\/td>\n\u00a0 Invest Financial Corporation<\/td>\n<\/tr>\n
\u00a0 MetLife Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Scott Hartman<\/td>\n\u00a0\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Sanford C. Bernstein & Co, LLC<\/td>\n<\/tr>\n
\u00a0 Evelyn Hernandez<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Alexander Kibrik<\/td>\n\u00a0 Garden State Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Radnor Research & Trading Company LLC<\/td>\n<\/tr>\n
\u00a0 James Polese<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Leslie Slaughter<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 TD Ameritrade, Inc<\/td>\n<\/tr>\n
\u00a0 Kenneth Tyrrell<\/td>\n\u00a0 Cary Street Partners<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services 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

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 August 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 Thomas Bennett \u00a0 Bancwest Investment Services, Inc \u00a0 U.S. Bancorp Investments, Inc \u00a0 Eddy Blizzard \u00a0 Suntrust Investment Services, Inc. […]<\/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-6440","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules — Securities Arbitration Lawyers Blog — August 28, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for August 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA — August 28, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-names-registered-individuals-suspended-in-august-2018-for-violations-of-finra-rules\/\" 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