{"id":7955,"date":"2019-04-19T08:39:19","date_gmt":"2019-04-19T12:39:19","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7955"},"modified":"2019-04-19T08:39:19","modified_gmt":"2019-04-19T12:39:19","slug":"registered-individuals-suspended-by-finra-in-march-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/registered-individuals-suspended-by-finra-in-march-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 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\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 Barrera, Cynthia<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Beyn, Edward<\/td>\n\u00a0 Rothchild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 Craig Scott Capital<\/td>\n<\/tr>\n
\u00a0 Blanchard, Keith<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Block, Gabriel<\/td>\n\u00a0 First Standard Financial Co<\/td>\n<\/tr>\n
\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Brown, Danard<\/td>\n\u00a0 Joseph Stone Capital<\/td>\n<\/tr>\n
\u00a0 First Standard Financial Co<\/td>\n<\/tr>\n
\u00a0 Eckstein, Matthew<\/td>\n\u00a0 Sisk Investment Services<\/td>\n<\/tr>\n
\u00a0 Gould, Ambroson & Associates<\/td>\n<\/tr>\n
\u00a0 Green, Mark<\/td>\n\u00a0 US Bancorp Investments<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors Financial Network<\/td>\n<\/tr>\n
\u00a0 Harris, Heath<\/td>\n\u00a0 Citigroup Global Markets<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services<\/td>\n<\/tr>\n
\u00a0 Hudgins, Sandra<\/td>\n\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Jones, Alexander<\/td>\n\u00a0 LPL Financial<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Lanci, Sean<\/td>\n\u00a0 First Standard Financial Co<\/td>\n<\/tr>\n
\u00a0 Rothschild Lieberman<\/td>\n<\/tr>\n
\u00a0 McNutt, Jared<\/td>\n\u00a0 PNC Investments<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Nunez, Michael<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 JP Morgan Securities<\/td>\n<\/tr>\n
\u00a0 Posillico, Paul<\/td>\n\u00a0 Aegis Capital Corp<\/td>\n<\/tr>\n
\u00a0 Obsidian Financial Group<\/td>\n<\/tr>\n
\u00a0 Powers, Dorothy<\/td>\n\u00a0 Ameriprise Financial Services<\/td>\n<\/tr>\n
\u00a0 IDS Life Insurance Co<\/td>\n<\/tr>\n
\u00a0 Preston, Duncan<\/td>\n <\/td>\n<\/tr>\n
\u00a0 Puricelli, Terrance<\/td>\n\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Co<\/td>\n<\/tr>\n
\u00a0 Rota, Dominic<\/td>\n\u00a0 Meyers Associates<\/td>\n<\/tr>\n
\u00a0 Rothschild Lieberman LLC<\/td>\n<\/tr>\n
\u00a0 Schreiner, Phillip<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/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 March 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 Barrera, Cynthia \u00a0 Morgan Stanley Smith Barney \u00a0 Merrill Lynch, Pierce, Fenner & Smith \u00a0 Beyn, Edward \u00a0 Rothchild Lieberman […]<\/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-7955","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nRegistered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 19, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for March 2019, the 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