Securities Arbitration AttorneysOur FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct.Contact Us NowFor a Free Consultation
$70MILLIONRecovery for Investment Fraud
$44MILLIONRecovery for Ponzi Scheme Victims
$25MILLIONRecovery Against National Brokerage Firm
$9.1MILLIONFINRA Arbitration Award Against Brokerage Firm
$7.9MILLIONSecurities Arbitration Award Against Stockbroker
$1MILLIONSecurities Arbitration Award for Elder Financial Fraud
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
According to FINRA Disciplinary actions for June 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
Dustin Shafer (Dustin Paul Shafer CRD# 34198962) is a former registered broker and investment advisor who was registered most recently with Newbridge Securities Corporation from 2019-2020, but spent the previous decade of his career with Money Concepts Capital Corp in Springfield, Illinois. Shafer worked in the brokerage industry since 2000. Continue reading ›
A growing trend in the brokerage industry is for financial advisers to offer their customers access to pre-IPO “deals”. Often, investors are promised “inside access” to invest in start-ups or even well-known companies before the initial public offerings (“IPOs”), but in reality investors are just investing in some sort of venture or company that promises to acquire the pre-IPO shares. Continue reading ›
Kevin Meadows (Kevin Kimball Meadows CRD #2878889) is a former registered broker and investment advisor whose most recent employer was IBN Financial Services, Inc. of Liverpool, NY. Prior to working at IBN, Meadows was registered with Lombard Securities Incorporated, Cape Securities Inc, and First Allied Securities, Inc. Meadows has been in the securities industry since 1997. Continue reading ›
On July 1, 2021, the US attorney for the Southern District of New York announced that Ross Baldwin of Precious Commodities, Inc. (PCI) and National Coin Broker, Inc. (NCB) has been criminally charged for an alleged fraud related to a precious metals leasing scheme involving millions of dollars.
Silver Law Group is investigating potential claims related to investments in L Bonds offered by GWG Holdings. The company missed recent key SEC filing deadlines and these investments may be in serious financial trouble. In April 2021, GWG temporarily paused sales of L Bonds. In May 2021, Nasdaq formally notified GWG of its noncompliance with listing rules. Continue reading ›
Silver Law Group represents investors with losses caused by fraud at Miami-area hedge funds.
Hedge funds are investment partnerships that are not as regulated or transparent as other types of investments. Hedge funds can invest in a wide variety of products that other investment vehicles cannot, which can provide very high returns in some cases. Investors may also suffer significant losses in hedge funds, and their minimal transparency can make it difficult for investors to evaluate them. Continue reading ›
Silver Law Group is investigating Rekor Systems, Inc. (REKR) regarding potential claims for investors in the company to recover losses. The investigation concerns potential violations of the federal securities laws.