Articles Posted in Stockbroker Misconduct

If you were a customer of Centaurus Financial who bought the hype over GWG Holdings’ now-defunct L-Bonds, you’re not alone. More than 27,000 investors believed their broker when they said L-Bonds were a solid investment with good returns. Silver Law Group may be able to help you recover your investment…

Did you purchase GWG Holdings’ L-Bonds through your broker at Dempsey Lord Smith before they declared bankruptcy in April of 2022? If so, you may realize that recovery of your principal is in jeopardy, and you may not recover anything. Silver Law Group may be able to help you recover…

More than 27,000 investors were left stunned—and without their money—when GWG Holdings filed for Chapter 11 bankruptcy earlier this year, along with some of its own subsidiaries. The company is over $1.6 billion in debt, and investors have no idea what to do or what will happen next. If you…

In November, 2023, Silver Law Group, achieved one of the earliest significant victories for a GWG L-Bonds investor against a brokerage firm. Since then, Silver Law Group has continued to help L-Bonds investors recover their losses. Following the collapse of GWG Holdings, investors holding illiquid L-Bonds find themselves with significant…

Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the…

Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his…

Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New…

Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma’on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company,…

Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996. Trimber…

Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of…