Articles Posted in Stockbroker Misconduct

Silver Law Group, a law firm specializing in securities and investment fraud, has filed a securities arbitration claim with FINRA on behalf of an elderly investor alleging stockbroker misconduct and the unsuitable use of margin and excessive trading. FINRA recently issued investor guidance highlighting “Purchasing on Margin, Risks Involved with…

Silver Law Group is investigating claims against Garden State Securities, Inc. (“Garden State”) broker Jason E. Zwibel (“Zwibel”) for possible unsuitable investment recommendations. Zwibel is currently employed by the Garden State office located in Wellington, Florida. A recent customer dispute filed with the Financial Industry Regulatory Authority (“FINRA”) against Zwibel…

Silver Law Group is investigating former Legend Equities Corp. (“Legend”) broker Walter Joseph Marino (“Marino”) for allegations of unsuitable recommendations and charging excessive commissions and fees in customer accounts. Marino was employed by Legend’s Palm Beach Gardens, Florida office prior to his termination in July 2015. The Financial Industry Regulatory…

Contact Us If You Have Lost Money Investing with Sheaff Brock Investment Advisors, LLC Silver Law Group is investigating potential FINRA arbitration claims against TD Ameritrade on behalf of investors who suffered investment losses with Sheaff Brock in stock options as a result of investments managed by Sheaff Brock. A class action…

Silver Law Group is investigating claims against Stifel, Nicolaus & Company, Inc. for the sale of unsuitable investments. Silver Law Group has filed a securities arbitration claim against Stifel, Nicolaus & Company, Inc. (“Stifel”) alleging the customers suffered significant losses due to unsuitable investments and misrepresentation of fees and commissions.…

Silver Law Group continues to investigate investments in oil, gas, and energy companies made by clients through master limited partnerships (“MLPs”) at the recommendation of their brokers. As a result of high oil prices over the past few years, there has been a heightened interest in investments in oil and…

Jeffrey L. Mischel CRD# 1374486 Silver Law Group is examining Carlsbad, California-based Wells Fargo broker Jeffrey L. Mischel after multiple clients filed FINRA complaints alleging misrepresentation relating to the purchase of Puerto Rico municipal bonds. According to FINRA’s BrokerCheck report on Mischel, a FINRA complaint alleging issues investing in Puerto…

Silver Law Group is investigating St. Augustine Florida-based D.H. Hill Securities, LLLP (CRD# 41528) broker Charles T. Stevens (CRD# 1698058) after FINRA sanctioned D.H. Hill Securities over misconduct concerning public non-traded REITs. Charles Stevens and St. Johns Financial Planning Stevens’ runs his own St. Augustine, Florida-based D.H. Hill Securities office…

Silver Law Group is investigating Greensboro, North Carolina-based Ameritas Investment Corp. (CRD# 14869) broker Alonza Barnett Jr (CRD# 4577695) after FINRA barred him and a customer brought a complaint alleging $1.75 million in damages. Barnett’s CRD Report According to Barnett’s FINRA BrokerCheck report, FINRA barred Barnett in March 2017 after…

Silver Law Group is investigating former South Florida-based Raymond James & Associates, Inc. (CRD# 705) broker Leon P. Rehak (CRD# 2331058) after a customer brought a FINRA arbitration complaint alleging over half a million dollars in damages. According to Rehak’s FINRA BrokerCheck report, a customer of Rehak filed a FINRA…