{"id":8876,"date":"2020-03-31T09:02:34","date_gmt":"2020-03-31T13:02:34","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8876"},"modified":"2020-03-31T09:25:26","modified_gmt":"2020-03-31T13:25:26","slug":"finra-disciplinary-actions-for-march-2020-name-registered-individuals-suspended-for-failure-to-comply-with-award","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-for-march-2020-name-registered-individuals-suspended-for-failure-to-comply-with-award\/","title":{"rendered":"FINRA Disciplinary Actions For March 2020 Name Registered Individuals Suspended For Failure To Comply With FINRA Arbitration Award Or Settlement"},"content":{"rendered":"

According to FINRA Disciplinary actions for March 2020, 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Eric Abrahams<\/td>\n\u00a0 Burch & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Stillwater Structured Finance, LLC<\/td>\n<\/tr>\n
\u00a0 Ronny Acluche<\/td>\n\u00a0 Citizens Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Mark Adams Sr.<\/td>\n\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Banc of America Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Omer Ali-Taha<\/td>\n\u00a0 BB&T Investment Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Fairfax Wealth, LLC<\/td>\n<\/tr>\n
\u00a0 John Baron<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Antonio Costanzo<\/td>\n\u00a0 Titus Rockefeller, LLC<\/td>\n<\/tr>\n
\u00a0 IFS Securities<\/td>\n<\/tr>\n
\u00a0 Peter Ingraham<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Bruce Katz<\/td>\n\u00a0 Gilford Securities Incorporated<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Andrew Mandala<\/td>\n\u00a0 Burch & Company, Inc.<\/td>\n<\/tr>\n
\u00a0 Stillwater Structured Finance, LLC<\/td>\n<\/tr>\n
\u00a0 Steve Morris<\/td>\n\u00a0 Wynston Hill Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Halcyon Cabot Partners, Ltd.<\/td>\n<\/tr>\n
\u00a0 Donald Padilla<\/td>\n\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Kestra Investment Services, LLC<\/td>\n<\/tr>\n
\u00a0 Thomas Polston<\/td>\n\u00a0 Stifel, Nicolaus & Company, Incorporated<\/td>\n<\/tr>\n
\u00a0 Advest, Inc.<\/td>\n<\/tr>\n
\u00a0 Virgil Richmond II<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 J.P. Morgan Securities LLC<\/td>\n<\/tr>\n
\u00a0 Matthew Siliato<\/td>\n\u00a0 Wynston Hill Capital, LLC<\/td>\n<\/tr>\n
\u00a0 Spartan Capital Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Steven Thrush<\/td>\n\u00a0 Summit Brokerage Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 John Wyshak<\/td>\n\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Wedbush Securities Inc.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

<\/a>Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

According to FINRA Disciplinary actions for March 2020, 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","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8876","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Disciplinary Actions For March 2020 Name Individuals Suspended<\/title>\n<meta name=\"description\" content=\"FINRA Disciplinary actions for March 2020 names the following individuals suspended for failing to comply with an arbitration award or settlement agreement.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" 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