{"id":8424,"date":"2019-07-01T15:43:09","date_gmt":"2019-07-01T19:43:09","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8424"},"modified":"2019-07-01T15:43:09","modified_gmt":"2019-07-01T19:43:09","slug":"in-june-2019-finra-suspends-registered-individuals-for-failures-to-comply-with-finra-rules","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/in-june-2019-finra-suspends-registered-individuals-for-failures-to-comply-with-finra-rules\/","title":{"rendered":"In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules"},"content":{"rendered":"

According to FINRA Disciplinary actions for June 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

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

\n

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

\u00a0 Andrews, Helen<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Barclays Capital Inc<\/td>\n<\/tr>\n
\u00a0 Andreyeva, Tatyana<\/td>\n\u00a0 Westpark Capital, Inc<\/td>\n<\/tr>\n
\u00a0 Fordham Financial Management, Inc<\/td>\n<\/tr>\n
\u00a0 Basarian, Gary<\/td>\n\u00a0 Royal Alliance Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Integrated Resources Equity Corp<\/td>\n<\/tr>\n
\u00a0 Bowen, Heath<\/td>\n\u00a0 Allegis Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Signator Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Cohen, Michael<\/td>\n\u00a0 Dinosaur Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Gendlek, Francis<\/td>\n\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 TFS Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Hartnett, Richard<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 CIBC World Markets Corp<\/td>\n<\/tr>\n
\u00a0 Kanoy, Anson<\/td>\n\u00a0 Raymond James & Assoc, Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors, LLC<\/td>\n<\/tr>\n
\u00a0 Miller, Eric<\/td>\n\u00a0 Scottsdale Capital Advisors Corp<\/td>\n<\/tr>\n
\u00a0 Rocky Mountain Securities & Investments, Inc<\/td>\n<\/tr>\n
\u00a0 Murray, Stephen<\/td>\n\u00a0 Raymond James & Associates, Inc<\/td>\n<\/tr>\n
\u00a0 Morgan Keegan & Company, Inc<\/td>\n<\/tr>\n
\u00a0 Ramcharran, Rameshwar<\/td>\n\u00a0 Ameriprise Financial Services, Inc<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Romer III, Ernest<\/td>\n\u00a0 Corecap Investments, Inc<\/td>\n<\/tr>\n
\u00a0 L.M. Kohn & Company<\/td>\n<\/tr>\n
\u00a0 Rumayor, Juan<\/td>\n\u00a0 Farmers Financial Solutions, LLC<\/td>\n<\/tr>\n
\u00a0 HSBS Securities (USA) Inc<\/td>\n<\/tr>\n
\u00a0 Salcedo, Alex<\/td>\n\u00a0 Scottrade, Inc<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Webb, James Jr.<\/td>\n\u00a0 Citigroup Global Markets Inc<\/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 June 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 Andrews, Helen \u00a0 Morgan Stanley \u00a0 Barclays Capital Inc \u00a0 Andreyeva, Tatyana \u00a0 Westpark Capital, Inc \u00a0 Fordham Financial Management, […]<\/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-8424","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions"],"yoast_head":"\nIn June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules — Securities Arbitration Lawyers Blog — July 1, 2019<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for June 2019, the 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