{"id":7480,"date":"2019-01-03T08:48:44","date_gmt":"2019-01-03T13:48:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7480"},"modified":"2019-06-13T10:39:35","modified_gmt":"2019-06-13T14:39:35","slug":"finra-names-individuals-suspended-in-december-2018-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-suspended-in-december-2018-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for December 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\u00a0 Albin, William<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Metlife Securities Inc<\/td>\n<\/tr>\n
\u00a0 Allen, David<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Gunnallen Financial, Inc<\/td>\n<\/tr>\n
\u00a0 Boupon, Kean<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Chang, Jonathan<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Clements, Michael<\/td>\n\u00a0 Intercoastal Capital Markets, Inc<\/td>\n<\/tr>\n
\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 Fagenson, David<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Kelly, James<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Martino, Andrew<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Miller, Frederick<\/td>\n\u00a0 Investshares<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0Rodriquez, Cesar<\/td>\n\u00a0 Avenir Financial Group<\/td>\n<\/tr>\n
\u00a0 American Trust Investments Services Inc<\/td>\n<\/tr>\n
\u00a0Roth, Brian<\/td>\n\u00a0 Aeon Capital Inc<\/td>\n<\/tr>\n
\u00a0 The Benchmark Company, LLC<\/td>\n<\/tr>\n
\u00a0Sarria, Jorge<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0Weinstein, Gregg<\/td>\n\u00a0 Entrustpermal Securities LLC<\/td>\n<\/tr>\n
\u00a0 Cantor Fitzgerald & Co<\/td>\n<\/tr>\n
\u00a0Yassin, Mohamed<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/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 December 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\u00a0 Albin, William \u00a0 Waddell & Reed \u00a0 Metlife Securities Inc \u00a0 Allen, David \u00a0 Avenir Financial Group \u00a0 Gunnallen Financial, […]<\/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-7480","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 3, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for December 2018, 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