{"id":9020,"date":"2020-05-21T10:05:08","date_gmt":"2020-05-21T14:05:08","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9020"},"modified":"2020-05-21T10:05:08","modified_gmt":"2020-05-21T14:05:08","slug":"finra-disciplinary-actions-for-february-2020-names-registered-individuals-suspended-for-failure-to-comply-with-award-or-settlement-agreement","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-disciplinary-actions-for-february-2020-names-registered-individuals-suspended-for-failure-to-comply-with-award-or-settlement-agreement\/","title":{"rendered":"FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement"},"content":{"rendered":"

According to FINRA Disciplinary actions for February 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Cline, Kevin<\/td>\n\u00a0 Source Capital Group, Inc<\/td>\n<\/tr>\n
\u00a0 Ridgemont Securities, Inc<\/td>\n<\/tr>\n
\u00a0 Delaney, Maxwell<\/td>\n\u00a0 Brill Securities, Inc<\/td>\n<\/tr>\n
\u00a0 National Securities Corporation<\/td>\n<\/tr>\n
\u00a0 Henrich, Todd<\/td>\n\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Obsidian Financial Group<\/td>\n<\/tr>\n
\u00a0 Garland, James<\/td>\n\u00a0 Garden State Securities<\/td>\n<\/tr>\n
\u00a0 Global Arena Capital Corp<\/td>\n<\/tr>\n
\u00a0 Kloskowski, Daniel<\/td>\n\u00a0 National Securities Corp<\/td>\n<\/tr>\n
\u00a0 Obsidian Financial Group, Inc<\/td>\n<\/tr>\n
\u00a0 Lowe, Brent<\/td>\n\u00a0 Morgan Stanley Smith Barney<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith<\/td>\n<\/tr>\n
\u00a0 Ray, Aaron<\/td>\n\u00a0 Vanguard Capital<\/td>\n<\/tr>\n
\u00a0 Blue Vase Securities, LLC<\/td>\n<\/tr>\n
\u00a0 Spaventa, Andrew<\/td>\n\u00a0 SW Financial<\/td>\n<\/tr>\n
\u00a0 Network 1 Financial Securities<\/td>\n<\/tr>\n
\u00a0\u00a0 Kraft, David<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Williams, Brian<\/td>\n\u00a0 Waddell & Reed<\/td>\n<\/tr>\n
\u00a0 Benjamin F. Edwards & Company<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for February 2020, 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 Cline, Kevin \u00a0 Source Capital Group, Inc \u00a0 Ridgemont Securities, Inc \u00a0 Delaney, Maxwell \u00a0 Brill Securities, Inc \u00a0 National […]<\/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-9020","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Disciplinary Actions February 2020 Names Individuals Suspended<\/title>\n<meta name=\"description\" content=\"According to FINRA disciplinary actions for February 2020, the following individuals were 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