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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Real estate investment company MacKenzie Realty Capital has made an unsolicited mini-tender offer to purchase as many as 2 million shares of the non-traded real estate investment trust (REIT) Phillips Edison & Company (PECO). Many independent broker-dealers sold Phillips Edison to retail investors promoting it as a solid investment paying substantial income.Real estate investment company MacKenzie Realty Capital has made an unsolicited mini-tender offer to purchase as many as 2 million shares of the non-traded real estate investment trust (REIT) Phillips Edison & Company (PECO). Many independent broker-dealers sold Phillips Edison to retail investors promoting it as a solid investment paying substantial income.

MacKenzie’s offer is for $7.39 per share and it expires on May 3, 2019. Continue reading

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Scott Silver, the managing partner of Silver Law Group, recently spoke to AutoNews.com for an article about GPB Capital’s ongoing legal troubles. GPB Capital investments were sold by SagePoint Financial, National Securities, and other brokerage firms.Scott Silver, the managing partner of Silver Law Group, recently spoke to AutoNews.com for an article about GPB Capital’s ongoing legal troubles. GPB Capital investments were sold by SagePoint Financial, National Securities, and other brokerage firms.

According to the article, GPB Capital Holdings is the majority owner of Prime Automotive Group, which is the 11th-largest dealership group in the country. GPB is the subject of federal and state investigations, and investors are concerned. There is concern that it could collapse and leave Prime without its majority investor and cause people who’ve invested in GPB to lose their money. Continue reading

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A stockholder in The Parking REIT has filed class action lawsuit against the company in Nevada federal court. The lawsuit is related to the proxy statements MVP REIT II filed with the SEC to get shareholder approval to merge with MVP REIT, which created The Parking REIT.A stockholder in The Parking REIT has filed class action lawsuit against the company in Nevada federal court. The lawsuit is related to the proxy statements MVP REIT II filed with the SEC to get shareholder approval to merge with MVP REIT, which created The Parking REIT.

The company is non-traded, but has filed a prospectus with the SEC to raise up to $100 million in an initial public offering and list on the NASDAQ with the symbol PARK. Continue reading

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According to FINRA Disciplinary actions for March 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

  Barrera, Cynthia   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith
  Beyn, Edward   Rothchild Lieberman LLC
  Craig Scott Capital
  Blanchard, Keith   Waddell & Reed
  Block, Gabriel   First Standard Financial Co
  National Securities Corp
  Brown, Danard   Joseph Stone Capital
  First Standard Financial Co
  Eckstein, Matthew   Sisk Investment Services
  Gould, Ambroson & Associates
  Green, Mark   US Bancorp Investments
  Wells Fargo Advisors Financial Network
  Harris, Heath   Citigroup Global Markets
  Wells Fargo Clearing Services
  Hudgins, Sandra   Ameriprise Financial Services
  Merrill Lynch, Pierce, Fenner & Smith
  Jones, Alexander   LPL Financial
  Morgan Stanley
  Lanci, Sean   First Standard Financial Co
  Rothschild Lieberman
  McNutt, Jared   PNC Investments
  JP Morgan Securities
  Nunez, Michael   Morgan Stanley
  JP Morgan Securities
  Posillico, Paul   Aegis Capital Corp
  Obsidian Financial Group
  Powers, Dorothy   Ameriprise Financial Services
  IDS Life Insurance Co
  Preston, Duncan  
  Puricelli, Terrance   Wells Fargo Advisors
  Morgan Keegan & Co
  Rota, Dominic   Meyers Associates
  Rothschild Lieberman LLC
  Schreiner, Phillip   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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According to FINRA Disciplinary actions for March 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

  Ferree, Stuart   LPL Financial LLC
  Invest Financial Corporation
 Anderson, Andy   LPL Financial LLC
  Invest Financial
  Andrzejewski, Bryan   Dean Bradley Osborne Partners LLC
  Morgan Stanley & Co
  Detamore, Craig   Allstate Financial Services
  Donato, Scott   Morgan Stanley
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Jefferson, Vladimir   Wells Fargo Sevurities
  Johnson, Anthony
  Trager, Robert   PFS Investments
  Primerica Financial Services
Tudor, Mark   Raymond James Financial Services
  Morgan Keegan & Company
  Whiting, David   Alternative Asset Investment Mgmt Securities
  HD Vest Investment Services

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

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According to FINRA Disciplinary actions for March 2019, 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:

NAME

FORMER EMPLOYERS

  Alfaro, Jennifer   JP Morgan Securities
  Austin, Aaron   LPL Financial LLC
  M & T Securities, Inc
  Conner, Youn
  Das, Anukul   NYLife Securities
  Nayeli, Rosalba   JP Morgan Securities LLC
  Wells Fargo
  Ferraro, Andrew   State Farm VP Mgmt Group
  Chris Ferraro Insurance Agency
  Fidelman, Peter   Bradley Woods & Co
  Griffen Securities Inc
  Gaston, Frantz   State Farm VP Mgmt
  Frantz Gaston Jr. Insurance Agency
  Guillory, Michael   Financial West Group
  The Shemano Group, Inc
  Hamm, Brandon   Wells Fargo Clearing Services
  Hartigan, John   Entrustpermal Securities LLC
  Calyon Financial Inc
  Jones, Marques   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Merlo, Robert   Allstate Financial Services
  Pruco Securities
  Norris, Timothy   BMO Harris Financial Advisors
  HarrisDirect LLC
  Olsen, Eric   NYLIfe Securities LLC
  Wellsfargo
  Perez, Paul   Investcorp, Inc
  Fintegra LLC
  Sullivan, Daniel Erich   Wunderlich Securities
  Chapdelaine & Co
  Uribe, Juan   Wells Fargo Clearing Services
  JP Morgan Securities LLC
  Wilson, Vance   Wells Fargo Clearing Serices
  Fidelity Brokerage Services
  Witt, Robert   Voya Financial Adisors
  ING Financial Partners

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

 

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According to FINRA Disciplinary actions for February 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

  Bishop, Tywan   Charles Schwab & Co., Inc
  ETrade Securities
  Borja, Mauricio   Allstate Financial Services, LLC
  Conrekas, Edward   J.W. Cole Financial, Inc.
  Morgan Stanley
  Delaney, Glen   Newbridge Securities Corp
  Craig Scott Capital, LLC
  Flaningan, Joel   NYLife Securities LLC
  Synergy Investment Services, LLC
  Hovermale, Jeffrey   Sovereign Legacy Securities, Inc
  Family Income Planning, Inc
  Marnelego, Christopher   First Standard Financial Company LLC
  Merriman Capital, Inc
  Ness, Valerie
  O’Neal, Tristan   Northwestern Mutual Investment Services, LLC
  Trotter, Aaron   JP Morgan Securities LLC
  Capital One Bank
  Vrazel, Patsy
  Worthington, Bruce   Founders Financial Securities LLC
  Commonwealth Financial Network

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Published on:

According to FINRA Disciplinary actions for February 2019, 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:

NAME

FORMER EMPLOYERS

  Arizmendi, Jose   Silber Bennett Financial, Inc
  TCFG Wealth Management, LLC
  Barrick, Tabor   FBL Marketing Services, LLC
  Allstate Financial Services, LLC
  Bogdan, David   Fidelity Brokerage
  Conklin, Jeffrey   The Huntington Investment Company
  Huntington National Bank
 Cottone, Anthony    Landolt Securities, Inc
  Legion Capital
  Crocker, Sierra   Voya Financial Partners
  Suntrust Bank
  Gaston, Frantz   State Farm VP Management Corp
  Frantz Gaston Jr. Insurance Agency
  Peter Gomez   NYLife Securities LLC
  New York Life Insurance Co
  Harris, Dionna   Vanguard Marketing Corporation
  Henry, Omar   Cetera Advisors LLC
  JP Morgan Securities LLC
  King, Erin   Wells Fargo Clearing Services, LLC
  Wells Fargo Bank
  Lin, Linda
  Lossing, Christopher   LPL Financial LLC
  Edward Jones
  McNeill, Randolph   Buckman, Buckman & Reid, Inc
  Garden State Securities
  Minichino, Richard   Next Financial Group, Inc
  Wunderlich Securities, Inc
  Nicholl, Timothy
  Onu, Isaac   NYLife Securities LLC
  Wells Fargo Advisors, LLC
  Peskar, Denise   Pruco Securities, LLC
  The Prudential Insurance Co of America
  Schwede, Jaime
  Simon, Justin   NYLife Securities LLC
  Country Capital Management Co
  Sredich, Kimberly
  Stephens, Dudley   Coastal Equities, Inc
  Prospera Financial Services, Inc
  Strawn, Brandon
  Tinsley, Sean   Park Avenue Securities LLC
  AXA Advisors, LLC
  Trussell, Derrick   PFS Investments Inc
  Vailiancourt Jr., Peter   Fidelity Brokerage Services LLC
  Wood, Daniel   LPL Financial LLC
  Morgan Stanley Smith Barney
  Wright, Bryan   Pruco Securities, LLC
  The Prudential Insurance Company of America

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

Published on:

According to FINRA Disciplinary actions for February 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

  Grossman, Robert   David Lerner Associates, Inc
  National Planning Corporation
  Jacobowitz, Oded   Securities America, Inc
  JP Morgan Securities LLC
  James, Garland   Garden State Securities, Inc
  Global Arena Capital Corp
  Konz, Rachel   Morgan Stanley
  Wells Fargo Advisors, LLC
  Moltz, Brian   MML Investors Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Park, Thomas   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Royster, Brian   HD Investment Services
  LPL Financial LLC
  Staff, Phillip   Ameriprise Financial Services, Inc
  Wells Fargo Advisors, LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

Contact Information