{"id":9489,"date":"2020-11-20T10:45:10","date_gmt":"2020-11-20T15:45:10","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9489"},"modified":"2020-11-20T10:45:10","modified_gmt":"2020-11-20T15:45:10","slug":"finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-september-2020","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-stockbrokers-for-failing-to-comply-with-finra-arbitration-award-or-settlement-agreement-september-2020\/","title":{"rendered":"FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2020"},"content":{"rendered":"

According to FINRA Disciplinary actions for September 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
NAME<\/strong><\/td>\nFORMER EMPLOYERS<\/strong><\/td>\n<\/tr>\n
\u00a0 William Baris<\/td>\n\u00a0 Network 1 Financial Securities Inc.<\/td>\n<\/tr>\n
\u00a0 Joseph Stone Capital LLC<\/td>\n<\/tr>\n
\u00a0 Todd Paynter<\/td>\n\u00a0 Cambridge Investment Research, Inc.<\/td>\n<\/tr>\n
\u00a0 Ameriprise Financial Services, Inc.<\/td>\n<\/tr>\n
\u00a0 Nelson Polun<\/td>\n\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n
\u00a0 Adam Schachter<\/td>\n\u00a0 LPL Financial LLC<\/td>\n<\/tr>\n
\u00a0 Wells Fargo Clearing Services, LLC<\/td>\n<\/tr>\n
\u00a0 Paul Steffany<\/td>\n\u00a0 Moors & Cabot, Inc.<\/td>\n<\/tr>\n
\u00a0 Raymond James & Associates, Inc.<\/td>\n<\/tr>\n
\u00a0 Peter Walsworth<\/td>\n\u00a0 Morgan Stanley<\/td>\n<\/tr>\n
\u00a0 Merrill Lynch, Pierce, Fenner & Smith Inc<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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

According to FINRA Disciplinary actions for September 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 William Baris \u00a0 Network 1 Financial Securities Inc. \u00a0 Joseph Stone Capital LLC \u00a0 Todd Paynter \u00a0 Cambridge Investment Research, […]<\/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-9489","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"\nFINRA Suspends Brokers For Failing To Comply With Award Or Settlement Agreement September 2020<\/title>\n<meta name=\"description\" content=\"According to FINRA Disciplinary actions for September 2020, the following 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