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Roger Kroeger, Invest Financial Corporation: Misappropriated customers funds

Posted: December 14th, 2017

The Silver Law Group and the Law Firm of David Chase have announced their joint investigation into allegations that Fort Lauderdale, Florida based Invest Financial Corporation broker Roger Kroeger made improper loans from a customer account to a family members and/or misappropriated customers funds.  Invest Financial Corporation terminated Kroeger on November 17, 2017, on the […]

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Clint Stoffels, UBS Financial Services: Unsuitable Investments

Posted: December 11th, 2017

Clint H. Stoffels CRD# 5891072 Silver Law Group is investigating former Dallas, Texas UBS Financial Services broker Clint H. Stoffels after a client filed a FINRA complaint alleging unsuitable options investments, churning and misrepresentation. According to FINRA’s BrokerCheck report on Stoffels, a client filed a FINRA complaint in May of 2017 alleging that he provided […]

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Ricardo F. Guimares, Wells Fargo: Unsuitable Investment Advice.

Posted: December 7th, 2017

Ricardo F. Guimares CRD#5442981 Silver Law Group is investigating Miami, New Florida-based Wells Fargo broker Ricardo Guimares after a customer complaint alleging unsuitable investment advice. According to FINRA’s BrokerCheck report on Guimares, a complaint was received in August of 2017 relating to his time at Wells Fargo that alleged unsuitable investment recommendations. This complaint was […]

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Jeffrey S. Thompson, LPL Financial: Unauthorized Investment Activity

Posted: December 6th, 2017

Jeffrey S. Thompson CRD#4602601 Silver Law Group is investigating Lake Wales, Florida-based LPL Financial broker Jeffrey Thompson following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Thompson, a complaint was received in August of 2017 alleging that Thompson had provided unsuitable investment recommendations during his time […]

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Harold Lauber, Herbert J. Sims & Co :Unsuitable Investment Recommendations

Posted: December 6th, 2017

Harold J. Lauber CRD#2001512 Silver Law Group is investigating Naples, Florida-based Herbert J. Sims & Co broker Harold Lauber, after a customer allegation of unsuitable investment recommendations was received by FINRA. According to FINRA’s BrokerCheck report on Lauber, a complaint was filed in August of 2017 alleging that during his time at RBC Capital Markets […]

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NYC Securities Arbitration Lawyer Scott Silver  

Posted: December 5th, 2017

NYC Securities Arbitration Lawyer Scott Silver Scott L. Silver is the managing partner of Silver Law Group, a nationally recognized law firm with offices conveniently located in New York and Florida representing aggrieved investors worldwide to recover their investment losses. Scott has received a Martindale Hubbell Preeminent “AV” Rating, the highest ratings given for general […]

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Felipe Arrieta, Dakota Securities International

Posted: December 5th, 2017

Felipe N. Arrieta CRD#4142123 Silver Law Group is investigating Miami, Florida-based Dakota Securities International broker Felipe Arrieta following a customer complaint alleging unauthorized trading, breach of fiduciary duty and breach of contract in customers’ accounts. According to FINRA’s BrokerCheck report on Arrieta, a complaint was received in April of 2017 alleging that Arrieta had engaged […]

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Christopher Sinkula, Montgomery Scott: Unsuitable Investment Recommendations

Posted: December 5th, 2017

Christopher D. Sinkula CRD#2001512 Silver Law Group is investigating former Stuart, Florida-based Janney Montgomery Scott LLC broker Christopher Sinkula, after a customer allegation of misrepresentation and unsuitable recommendations were received by FINRA. According to FINRA’s BrokerCheck report on Sinkula, a complaint was filed in July of 2017 alleging that during his time Janney Montgomery Scott […]

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How to Spot Binary Options Fraud

Posted: December 4th, 2017

Binary options have become a very powerful player in the financial sector. The reason for this is that they are a highly unregulated instrument and investors can make, at times, substantial gains. In fact, binary options are one of the financial transactions that is the closest to gambling in the financial marketplace today. When trying […]

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What the SEC Says About Binary Option Fraud Victims

Posted: December 4th, 2017

In recent years, binary options have become a very popular tool to utilize for making substantial returns on investment. Given that this practice is rather new in comparison to traditional investment options, binary options still have a great deal of regulation to face in terms of protecting consumers from making investment transactions with these companies […]

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