{"id":9451,"date":"2020-10-23T11:03:32","date_gmt":"2020-10-23T15:03:32","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9451"},"modified":"2020-10-23T11:03:32","modified_gmt":"2020-10-23T15:03:32","slug":"finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-october","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-october\/","title":{"rendered":"FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October"},"content":{"rendered":"

According to FINRA Disciplinary actions for October 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 Jeffrey Allen<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Advisors<\/td>\n<\/tr>\n
\u00a0 Christopher Canorro<\/td>\n\u00a0 TD Ameritrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Scottrade, Inc.<\/td>\n<\/tr>\n
\u00a0 Terrence Diehl<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Private Advisor Group<\/td>\n<\/tr>\n
\u00a0 Alex Herrera<\/td>\n\u00a0 UBS Financial Services Inc.<\/td>\n<\/tr>\n
\u00a0 HSBC Securities (USA) Inc.<\/td>\n<\/tr>\n
\u00a0 Blake Kiernan<\/td>\n\u00a0 Four Points Capital Partners LLC<\/td>\n<\/tr>\n
\u00a0 First Midwest Securities, Inc.<\/td>\n<\/tr>\n
\u00a0 Deependra Logani<\/td>\n\u00a0 Morgan Stanley Smith Barney LLC<\/td>\n<\/tr>\n
\u00a0 Santander Securities LLC<\/td>\n<\/tr>\n
\u00a0 Anthony Mastroianni Jr.<\/td>\n\u00a0 Meyers Associates, L.P.<\/td>\n<\/tr>\n
\u00a0 Alexander Capital, L.P.<\/td>\n<\/tr>\n
\u00a0 Frank Mebane III<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Denis O\u2019Leary<\/td>\n\u00a0 Dinosaur Financial Group, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 John Riccardi Jr.<\/td>\n\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Windsor Street Capital, LP<\/td>\n<\/tr>\n
\u00a0 Scott Whittemore<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Morgan Stanley<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for October 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 Jeffrey Allen \u00a0 Wells Fargo Clearing Services, LLC \u00a0 Wells Fargo Advisors \u00a0 Christopher Canorro \u00a0 TD Ameritrade, Inc. \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-9451","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Stockbrokers For Failing To Comply With FINRA Award<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for October 2020, the following individuals were suspended for 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