A National Securities Arbitration & Investment Fraud Law Firm

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Securities Arbitration Attorneys Our FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct.
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On November 12, 2019, Scott Silver of the Silver Law Group and co-counsel filed a lawsuit in the Northern District of Florida against Phillip Timothy Howard (Tim Howard), a Tallahassee, Florida attorney and investment fund manager, based on claims that Howard defrauded an investor of more than a half-million dollars as part of a real estate fraud scheme. The suit alleges (1) violation of the federal civil Racketeer Influenced and Corrupt Organizations Act (RICO); (2) fraud in the inducement; (3) breach of fiduciary duty; (4) negligent misrepresentation; and (5) unjust enrichment.On November 12, 2019, Scott Silver of the Silver Law Group and co-counsel filed a lawsuit in the Northern District of Florida against Phillip Timothy Howard (Tim Howard), a Tallahassee, Florida attorney and investment fund manager, based on claims that Howard defrauded an investor of more than a half-million dollars as part of a real estate fraud scheme.

The suit alleges (1) violation of the federal civil Racketeer Influenced and Corrupt Organizations Act (RICO); (2) fraud in the inducement; (3) breach of fiduciary duty; (4) negligent misrepresentation; and (5) unjust enrichment. Continue reading

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On Thursday, November 7, 2019, Scott Silver, managing partner of Silver Law Group, and Jay Berkowitz, CEO and founder of marketing agency Ten Golden Rules, delivered a presentation to members of the South Florida Interactive Marketers Association (SFIMA).On Thursday, November 7, 2019, Scott Silver, managing partner of Silver Law Group, and Jay Berkowitz, CEO and founder of marketing agency Ten Golden Rules, delivered a presentation to members of the South Florida Interactive Marketers Association (SFIMA).

About SFIMA

Founded in 2004, SFIMA is an all-volunteer organization that promotes education, networking, and professional growth opportunities for marketers in southeast Florida. SFIMA holds monthly educational and networking events with an industry speaker. Continue reading

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Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Lipocine (LPCN), a publicly-traded specialty pharmaceutical company, on behalf of shareholders of the company’s stock.  The investigation concerns whether Lipocine gave misleading information to the public and violated federal securities laws.Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Lipocine (LPCN), a publicly-traded specialty pharmaceutical company, on behalf of shareholders of the company’s stock.

The investigation concerns whether Lipocine gave misleading information to the public and violated federal securities laws. Continue reading

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GPB Capital Holdings, the troubled alternative asset management firm that’s being investigated by the FBI, SEC, and others, and is accused of operating like a Ponzi scheme, allegedly has significant ties to the Church of Scientology. Scientology is a system of religious beliefs and practices created by American science fiction writer L. Ron Hubbard in 1952. The religion has had many controversies over the years, including “Operation Snow White” in the 1970s, in which up to 5,000 agents infiltrated US government agencies to remove unfavorable evidence about Scientology and L. Ron Hubbard.GPB Capital Holdings, the troubled alternative asset management firm that’s being investigated by the FBI, SEC, and others, and is accused of operating like a Ponzi scheme, allegedly has significant ties to the Church of Scientology.

Scientology is a system of religious beliefs and practices created by American science fiction writer L. Ron Hubbard in 1952. The religion has had many controversies over the years, including “Operation Snow White” in the 1970s, in which up to 5,000 agents infiltrated US government agencies to remove unfavorable evidence about Scientology and L. Ron Hubbard. Continue reading

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Scott Silver, managing partner of Silver Law Group, delivered a presentation on variable annuity fraud at the 28th PIABA annual meeting in Austin, Texas. Variable deferred annuities are a hybrid investment that contains features of a security and insurance. According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA.”Scott Silver, managing partner of Silver Law Group, delivered a presentation on variable annuity fraud at the 28th PIABA annual meeting in Austin, Texas.

What Is A Variable Annuity?

Variable deferred annuities are a hybrid investment that contains features of a security and insurance. According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA.” Continue reading

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Before being permanently barred by FINRA, James Flynn of Greenville, South Carolina, was a broker who caused serious damage to many clients. Flynn’s publicly available FINRA BrokerCheck report shows an astounding 40 disclosures, including bankruptcy, tax liens, employment separations, and customer disputes alleging false and misleading representations and unsuitable investment recommendations.About James Flynn

Before being permanently barred by FINRA, James Flynn of Greenville, South Carolina, was a broker who caused serious damage to many clients. Flynn’s publicly available FINRA BrokerCheck report shows an astounding 40 disclosures, including bankruptcy, tax liens, employment separations, and customer disputes alleging false and misleading representations and unsuitable investment recommendations. Continue reading

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Silver Law Group continues to file GPB securities arbitration claims. GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. Cohn, was indicted on October 23, 2019, on charges of obstruction of justice, unauthorized computer access, and unauthorized disclosure of confidential information.Silver Law Group continues to file GPB securities arbitration claims.

GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. Cohn, was indicted on October 23, 2019, on charges of obstruction of justice, unauthorized computer access, and unauthorized disclosure of confidential information. Continue reading

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Silver Law Group represents investors in securities arbitration claims relating to variable annuities. The Securities and Exchange Commission (SEC) is investigating the Variable Annuity Life Insurance Company (Valic), an American International Group, Inc. (AIG) subsidiary that specializes in retirement plans for schools, colleges, and not-for-profit organizations.Silver Law Group represents investors in securities arbitration claims relating to variable annuities.

The Securities and Exchange Commission (SEC) is investigating the Variable Annuity Life Insurance Company (Valic), an American International Group, Inc. (AIG) subsidiary that specializes in retirement plans for schools, colleges, and not-for-profit organizations. Continue reading

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According to FINRA Disciplinary actions for August 2019, 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:

NAME FORMER EMPLOYERS
  Sandra Acree   Fidelity Brokerage Services
  Andrew Baker   Suntrust Investment Services
  Wells Fargo Advisors
  William Cannon   Lifemark Securities Corp
  Fortune Financial Services
  Patrick Devaney II   Financial West Group
  Sanford Roberts, Inc
  James D’Meo   Kenneth Jerome & Co
  Equity Services, Inc
  David Drees   American Financial Services
  Clinton Dunbar   Union Capital Company
  IFS Securities
  George Edwards   Edward Jones
  Cetera Investment Services
  Charles Frank   NYLife Securities
  MWA Financial Services
  Jack Lowrey Jr.   Ameriprise Financial Services
  NBC Securities
  Jeffrey Lundstrom   Signator Investors, Inc
  Transamerica Financial Advisors
  Uriah Mitchell   JP Morgan Securities
  Raymond Montchal   Morgan Stanley
  Citigroup Global Markets
  Robert Neuedorf   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith

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According to FINRA Disciplinary actions for August 2019, 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

  Patrick Auckland   TIAA-VREF Individual & Institutional Services
  Morgan Stanley
  Matthew DiNinno   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith
  Nicholas Diesso   Ameriprise Financial Services
  Ameriprise Advisor Services
  Roger Faubel   Chelsea Financial Services
  National Securities Corp
  Keir Harner   Securities America
  Waddell & Reed
  Heath Harris   Citigroup Global Markets Inc
  Wells Fargo Clearing Services
  Ross Jordan   BBVA Securities
  Morgan Stanley
  Charles LaMarca   Benjamin & Jerold Brokerage
  Meridian Equity Partners
  Ernest Romer III   Corecap Investments, Inc
  L.M. Kohn & Company
  Christopher Sanford   Natwest Markets Securities
  Amherst Pierpont
  Matthew Siliato   Wynston Hill Capital
  Spartan Capital Securities

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