{"id":9180,"date":"2020-07-27T21:45:11","date_gmt":"2020-07-28T01:45:11","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9180"},"modified":"2020-07-27T21:45:11","modified_gmt":"2020-07-28T01:45:11","slug":"finra-suspends-registered-individuals-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-july-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-registered-individuals-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-july-2020\/","title":{"rendered":"FINRA Suspends Registered Individuals For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for July 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 Thomas Ambrose<\/td>\n\u00a0 Ambrose Wealth Management<\/td>\n<\/tr>\n
\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Matthew Beaver<\/td>\n\u00a0 Grit Wealth Management, LLC<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Neal Carlson<\/td>\n\u00a0 Forthright Family Wealth Advisory LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Karl Foust, Jr.<\/td>\n\u00a0 H.D. Vest Investment Services<\/td>\n<\/tr>\n
\u00a0 GunnAllen Financial, Inc.<\/td>\n<\/tr>\n
\u00a0 Ryan Kaufman<\/td>\n\u00a0 Securities America, Inc.<\/td>\n<\/tr>\n
\u00a0 Woodbury Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Henry Osorio, Jr.<\/td>\n\u00a0 Westrock Advisors, Inc.<\/td>\n<\/tr>\n
\u00a0 S.W. Bach & Company<\/td>\n<\/tr>\n
\u00a0 Damion Smith<\/td>\n\u00a0 Great Gable Wealth Management<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Walter Taylor, Jr.<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors LLC<\/td>\n<\/tr>\n
\u00a0 Howard Walzer<\/td>\n\u00a0 BB&T Securities, LLC<\/td>\n<\/tr>\n
\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 Xianyu Yu Zhang<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for July 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 Thomas Ambrose \u00a0 Ambrose Wealth Management \u00a0 Cambridge Investment Research, Inc. \u00a0 Matthew Beaver \u00a0 Grit Wealth Management, LLC \u00a0 […]<\/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-9180","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Individuals For Failing To Comply July 2020<\/title>\n<meta name=\"description\" content=\"FINRA suspended the following individuals for failing to comply with an arbitration award or settlement 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