{"id":8265,"date":"2019-05-23T10:43:33","date_gmt":"2019-05-23T14:43:33","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8265"},"modified":"2019-05-23T10:43:33","modified_gmt":"2019-05-23T14:43:33","slug":"finra-disciplinary-actions-for-may-2019-name-registered-individuals-suspended-for-failing-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-for-may-2019-name-registered-individuals-suspended-for-failing-to-comply-with-finra-rules\/","title":{"rendered":"FINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for May 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Bethan, Frank<\/td>\n\u00a0 Quest Capital Strategies, Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Cody, Jill<\/td>\n\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Westminster Financial Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Cody, Richard<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Concorde Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Genovese Michael<\/td>\n\u00a0 Laidlaw & Company (UK) LTD<\/td>\n<\/tr>\n
\u00a0 Rockwell Global Capital LLC<\/td>\n<\/tr>\n
\u00a0 Guderyon, John<\/td>\n\u00a0 WM Smith & Co<\/td>\n<\/tr>\n
\u00a0 Crest Capital LLC<\/td>\n<\/tr>\n
\u00a0 Laboranti, Jeffrey<\/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 Simanski, Douglas<\/td>\n\u00a0 Next Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Advantage Capital Corporation<\/td>\n<\/tr>\n
\u00a0 Valladolid, Guillermo<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Wadsworth, Jackie<\/td>\n\u00a0 IMS Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Acumen Securities, 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 May 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 Bethan, Frank \u00a0 Quest Capital Strategies, Inc \u00a0 Wells Fargo Clearing Services, LLC \u00a0 Cody, Jill \u00a0 Concorde Investment 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-8265","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nFINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — May 23, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions 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