{"id":7700,"date":"2019-01-30T15:56:33","date_gmt":"2019-01-30T20:56:33","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7700"},"modified":"2019-01-30T15:56:33","modified_gmt":"2019-01-30T20:56:33","slug":"finra-suspends-registered-individuals-in-january-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-january-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in January 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for January 2019, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Ballard, Timothy<\/td>\n\u00a0 Securities Americva<\/td>\n<\/tr>\n
\u00a0 National Planning Corp<\/td>\n<\/tr>\n
\u00a0 Cunningham, Christopher<\/td>\n\u00a0 Fulcrum Securities<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Montano, Roberto<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 US Bancorp Investments<\/td>\n<\/tr>\n
\u00a0 Plummer, Mark<\/td>\n\u00a0 Chestnut Exploration Partners<\/td>\n<\/tr>\n
\u00a0 Plummer Holdings<\/td>\n<\/tr>\n
\u00a0 Sanford, Christopher<\/td>\n\u00a0 Natwest Markets Securities<\/td>\n<\/tr>\n
\u00a0 Amherst Pierpont<\/td>\n<\/tr>\n
\u00a0 Vandyke, Victoria<\/td>\n\u00a0 Corinthian Partners<\/td>\n<\/tr>\n
\u00a0 Matrix USA LLC<\/td>\n<\/tr>\n
\u00a0 White, Harold<\/td>\n\u00a0 Willow Cove Investment Group<\/td>\n<\/tr>\n
\u00a0 R.W. Towt & Assoc<\/td>\n<\/tr>\n
\u00a0 Wilde, Maurice<\/td>\n\u00a0 Newbridge Securities Corp<\/td>\n<\/tr>\n
\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Wood, Stephen<\/td>\n\u00a0 UBS Financial Services Inc<\/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 January 2019, 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 Ballard, Timothy \u00a0 Securities Americva \u00a0 National Planning Corp \u00a0 Cunningham, Christopher \u00a0 Fulcrum Securities \u00a0 Wells Fargo Advisors \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-7700","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in January 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — January 30, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions 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