{"id":6674,"date":"2018-10-02T08:44:59","date_gmt":"2018-10-02T12:44:59","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6674"},"modified":"2018-10-02T08:44:59","modified_gmt":"2018-10-02T12:44:59","slug":"september-2018-finra-disciplinary-actions-name-individuals-suspended-for-failure-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/september-2018-finra-disciplinary-actions-name-individuals-suspended-for-failure-to-comply-with-finra-rules\/","title":{"rendered":"September 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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

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

\n

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

\u00a0 Heath Bowen<\/td>\n\u00a0 Allegis Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Signator Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 William Eaton<\/td>\n\u00a0 LPL Financial, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Yosef Fox<\/td>\n\u00a0 Ditto Trade, Inc<\/td>\n<\/tr>\n
\u00a0 Web Street Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Louis Kittlaus<\/td>\n\u00a0 Wall Street Strategies, Inc<\/td>\n<\/tr>\n
\u00a0 Edwin C. Blintz Investments, Inc.<\/td>\n<\/tr>\n
\u00a0 Robert Nash<\/td>\n\u00a0 Merrimac Corporate Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Jason Sullivan<\/td>\n\u00a0 Woodstock Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fagro Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Michael Venturino<\/td>\n\u00a0 Trident Partners LTD<\/td>\n<\/tr>\n
\u00a0 Aegis Capital Corp<\/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 September 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 Heath Bowen \u00a0 Allegis Investment Services, LLC \u00a0 Signator Financial Services, Inc \u00a0 William Eaton \u00a0 LPL Financial, LLC \u00a0 […]<\/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-6674","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nSeptember 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — October 2, 2018<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for 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