{"id":7939,"date":"2019-04-12T11:22:00","date_gmt":"2019-04-12T15:22:00","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7939"},"modified":"2019-04-12T11:22:00","modified_gmt":"2019-04-12T15:22:00","slug":"finra-names-individuals-suspended-in-february-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-names-individuals-suspended-in-february-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 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

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

\n

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

\u00a0 Grossman, Robert<\/td>\n\u00a0 David Lerner Associates, Inc<\/td>\n<\/tr>\n
\u00a0 National Planning Corporation<\/td>\n<\/tr>\n
\u00a0 Jacobowitz, Oded<\/td>\n\u00a0 Securities America, Inc<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 James, Garland<\/td>\n\u00a0 Garden State Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Konz, Rachel<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Moltz, Brian<\/td>\n\u00a0 MML Investors Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Park, Thomas<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Royster, Brian<\/td>\n\u00a0 HD Investment Services<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Staff, Phillip<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, 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 February 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 Grossman, Robert \u00a0 David Lerner Associates, Inc \u00a0 National Planning Corporation \u00a0 Jacobowitz, Oded \u00a0 Securities America, Inc \u00a0 JP […]<\/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-7939","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 12, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for February 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