A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating claims on behalf of stockholders who lost 95% of the principal they invested in funds offered by Hatteras Investment Partners LP after Hatteras sold their funds to The Beneficient Company in 2021. Beneficient is tied to GWG, which declared bankruptcy in 2022 after suffering catastrophic…
According to FINRA Disciplinary actions for April 2024, 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…
According to FINRA Disciplinary actions for April 2024, 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 Kwame Adusei Morgan Stanley J.P. Morgan Securities LLC Kevin Arvoy D.A. Davidson & Co. Raymond James…
According to FINRA Disciplinary actions for April 2024, 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 Vinessa Christian UBS…
According to FINRA Disciplinary actions for March 2024, 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 Gabriela Alfaro Charles…
According to FINRA Disciplinary actions for March 2024, 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…
According to FINRA Disciplinary actions for March 2024, 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 Timothy Breslin B. Riley Wealth Management Raymond James & Associates, Inc. Robin Johnson aka Robin Runco…
Minnesota-based broker-dealer Principal Securities has been sued by a local nonprofit over allegations of churning in variable annuities by one of its former registered representatives. The company disclosed this information in its recently filed annual focus report with the SEC. Principal Securities is also the subject of a separate FINRA…
Silver Law Group founder Scott Silver has weighed in on the move by many CrowdStreet investors who lost money in a failed Nightingale properties purchase. While he is not involved in the bankruptcy or litigation, Scott has paid close attention to the case. He is also a co-chair of the…
John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo,…