{"id":7981,"date":"2019-04-25T14:56:10","date_gmt":"2019-04-25T18:56:10","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7981"},"modified":"2019-04-25T14:59:45","modified_gmt":"2019-04-25T18:59:45","slug":"finra-suspends-registered-individuals-in-april-2019-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-in-april-2019-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for April 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

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

\n

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

\u00a0 Boj, Pedro<\/td>\n\u00a0 UBS Financial Services Inc<\/td>\n<\/tr>\n
\u00a0 BBVA Securities of PR<\/td>\n<\/tr>\n
\u00a0 Brooks, Carter<\/td>\n\u00a0 Wells Fargo Clearing Services LLC<\/td>\n<\/tr>\n
\u00a0 Edward Jones<\/td>\n<\/tr>\n
\u00a0 Lofaro, Patrick<\/td>\n\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Dalton Strategic Investment Services<\/td>\n<\/tr>\n
\u00a0 Muniz, George<\/td>\n\u00a0 Legend Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Meridian Equity Partners, Inc<\/td>\n<\/tr>\n
\u00a0 Norton, Robert<\/td>\n\u00a0 Wells Fargo Advisors Financial Network, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Walsworth, Peter<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/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 April 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 Boj, Pedro \u00a0 UBS Financial Services Inc \u00a0 BBVA Securities of PR \u00a0 Brooks, Carter \u00a0 Wells Fargo Clearing Services […]<\/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-7981","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — April 25, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for April 2019, the following 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