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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According to FINRA Disciplinary actions for December 2017, 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
  Jason N. Anderson   IFS Securities
  Kovack Securities Inc.
  Johan Henrik Frisell   Cambridge Investment Research, Inc.
  Capital Wealth Strategies LLC
  Deborah E. Greenlee-Keck   Coastal Equities, Inc.
  Wells Fargo Advisors, LLC
  Manuel Tomas Paredes   Worden Capital Management LLC
  Spartan Capital Securities, LLC
  Phillip Eugene Pistilli   Joseph Stone Capital LLC
  Spartan Capital Securities, LLC
  Charles Courtney Sandoval   Allstate Financial Services, LLC
  SII Investments, Inc.

 

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 December 2017, 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
  Helle Romer Bannister   HighTower Advisors, LLC
  J.P. Morgan Securities, LLC
  Kayla Jo Brassesco
  Aalim Jamaal Brown   NYLife Securities LLC
   Laura Ann Cava   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Wesley Claflin   Merrill Lynch, Pierce, Fenner & Smith Inc
  Brett Allen DeFore   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Jessica Marie Franze
  Edward Kenneth Frost   Western International Securities, Inc.
  GBS Financial Corp.
  Charles Edwin Garrison   Davenport & Company LLC
  Robert Constantine Gray   Farmers Financial Solutions, LLC
  Leanna Greene   State Farm VP Management Corp.
  Robert William Griffin   Cantella &Co., Inc.
  Cornerstone Investment Services
  Stephen Allen Holmes   Voya Financial Advisors, Inc.
  Ameriprise Financial Services, Inc.
  Stephen Joseph Kipp   NPB Financial Group, LLC
  Kipp Financial Group, Inc.
  Craig Gary Langweiler   Windsor Street Capital, LP
  Meyers Associates LP
  Matthew M. McDonagh   Osprey Partners LLC
  Cabot Lodge Securities LLC
  Christine Doreen Memet   PNC Investments
  Chase Investment Services Corp.
  Terry Mark Mlodzik   UBS Financial Services Inc.
  Monica Jean O’Neill   Mutual of Omaha Investors Services, Inc.
  Thrivent Investment Management, Inc.
  Carlos Antonio Rodriguez   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Casey Thomas Rodriguez   Arive Capital Markets
  Chelsea Financial Services
  David Edward Smith   The Huntington Investment Company
  Clint Herrison Stoffels   UBS Financial Services Inc.
  Harvey Alan Weisenfeld   Allstate Financial Services, LLC
  Wood Financial Insurance Group Inc.

 

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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The Silver Law Group in collaboration with the Law Firm of David Chase recently filed a FINRA arbitration claim on behalf of a legally blind 86-year old customer against Moloney Securities Co. and its broker, Joseph Weinrich, which alleges counts of unsuitability, unauthorized trading and churning, and seeks the recovery of his investment losses.

The arbitration complaint alleges that, over the course of at least a five-year period, Weinrich made unsuitable investment recommendations, including oil and gas master limited partnerships, inconsistent with his elderly customer’s financial situation and stated investment goals, which caused significant account losses.  The complaint further alleges that Weinrich excessively traded or “churned” the account, which was on margin, to improperly generate significant fees and commissions, and engaged in unauthorized trading.  Due to Weinrich’s misconduct, and Moloney Securities Co.’s failure to reasonably supervise, as alleged by the complaint, the customer suffered losses of over $450,000, and paid significant commissions and margin interest.

Unauthorized trading occurs when a stockbroker facilitates a transaction without the permission of the customer in a non-discretionary account. 

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According to FINRA Disciplinary actions for December 2017, 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
  Florjan Beqo   J.P. Morgan Securities LLC
  Benjamin Philip Brown   State Farm VP Management Corp.
  Joseph Calascione
  Sonya D. Camarco   LPL Financial LLC
  Linsco/Private Ledger Corp
  Benjamin Asa Duty   State Farm VP Management Corp.
  Oscar R. Galdamez   AXA Advisors, LLC
  Michael D. Graham   Northwestern Mutual Investment Services, LLC
  Steven Harris   MML Investors Services, LLC
  MSI Financial Services, LLC
  Kimberlyann Huegel   Vanguard Marketing Corporation
  The Vanguard Group, Inc.
  Randall William Hunt   Ameriprise Financial Services, Inc.
  Stifel, Nicolaus & Company, Inc.
  Alana Marie Lewis   Edward Jones
  Garrett Dalton Martin   J.P. Morgan Securities LLC
  Matt Scott Neas   Newbridge Securities Corporation
  Next Financial Group, Inc.
  Peter Andrew O’Hara   Charles Schwab & Co., Inc.
  Hong Kun Pan   Pruco Securities, LLC
  Jay Anthony Pandy-Tatum   Charles Schwab & Co., Inc.
  Youngsoo Park   J.P. Morgan Securities LLC
  Gary Dennis Ruiz   Citigroup Global Markets, Inc.
  Capital One Investing, LLC
  Simon Boowon Song   AXA Advisors, LLC
  Dawn Louise Stephens   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Lynn Shuster Strain   Wells Fargo Clearing Services, LLC
  Wells Fargo Advisors LLC
  Melanie Sherry Sweet   Hamershlag Sulzberger Borg Capital Markets, Inc.
  Southlake Capital, LLC
  Joseph Francis Valdini   Aegis Capital Corp.
  Worden Capital Management LLC
  Dawei Wang   Merrill Lynch, Pierce, Fenner &Smith Inc.
  Scottrade, Inc.
  Russell L. Woodley   Citizens Securities, Inc.

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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Charles A. Laverty

CRD#4875386

Silver Law Group is investigating former Newport Beach, California-based Oppenheimer broker Charles A. Laverty, after he was suspended by FINRA for failing to comply with an arbitration award or settlement.

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Jason N. Anderson

CRD#4370191

Silver Law Group is investigating former Beaumont, Texas-based LPL Financial broker Jason Anderson following a customer complaint alleging unauthorized trading, churning, and mismanagement in customers accounts.

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Ramesh Madhusudan

CRD#5389923

Silver Law Group is investigating Miami Florida-based Raymond James Financial Services broker Ramesh Madhusudan, after a customer filed a FINRA complaint alleging unsuitability and negligent supervision with alleged damages of $9,000,000

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Jay D. Jordan

CRD#1776666

Silver Law Group is investigating Oklahoma City, Oklahoma-based WFG broker Jay D Jordan, after customer allegations of misrepresentation and unsuitable recommendations where received by FINRA and he was subsequently permanently barred from the industry.

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Marc A. Reda

CRD#2757330

Silver Law Group is investigating New York, New York-based Spartan Capital Securities broker Marc A. Reda after customers complaints alleged unsuitable investment advice, misrepresentation, unauthorized trading and breach of fiduciary duty.

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