Articles Posted in Stockbroker Misconduct

Silver Law Group is investigating New York City-based broker Melanie S. Sweet (CRD# 2620987) after FINRA suspended her from acting as a broker in December 2016. Sweet is employed by Hamershlag Sulzberger Borg Capital Markets, Inc. (CRD#:103460) According to Sweet’s FINRA BrokerCheck report, FINRA suspended Sweet after she failed to…

Rafael Santiago (CRD# 2494647) of New York, New York firm Primary Capital, LLC (CRD# 127921) is under investigation after being barred from the securities industry in April 2016. Santiago, according to his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report was barred by FINRA after he failed to respond to FINRA’s…

Silver Law Group is investigating former Edward Jones (CRD# 250) broker Bernard M. Parker (CRD# 2010184) after the SEC charged him for stealing investors’ money so he could remodel his home. Parker has a lengthy list of disclosures according to his FINRA BrokerCheck report.  In total, Parker has 14 disclosures.…

Silver Law Group is investigating former New York, New York-based broker William V. Siegel (CRD# 4407213) after FINRA permanently barred Siegel from selling securities to the public. According to Siegel’s FINRA BrokerCheck report, the Financial Industry Regulatory Authority (“FINRA”) suspended Siegel in April 2016 after he failed to comply with…

Silver Law Group is investigating former Florida-based LPL Financial LLC (CRD# 6413) and Wells Fargo Advisors, LLC (CRD# 19616) (Also known as Wells Fargo Clearing Services) broker William T. Eaton (CRD# 3058469) after FINRA suspended him. According to Eaton’s FINRA BrokerCheck report, FINRA suspended Eaton from acting as a broker…

Silver Law Group is investigating former Pennsylvania-based Metlife Securities Inc. (CRD# 14251), also known as MSI Financial Services, Inc., broker Brian P. Murphy (CRD# 2953503) over allegations that he conducted outside business activities without the permission of his firm. According to Murphy’s FINRA BrokerCheck report, Signator Investors, Inc. (CRD# 468)…

Silver Law Group is investigating form Palm Bay, Florida-based Ameriprise Financial Services, Inc. (CRD# 6363) broker William B. Wyman (CRD# 4155621) after allegations that he sold away from his employing firm surface. According to Wyman’s FINRA BrokerCheck report, FINRA barred Wyman in January 2017 after he failed to request termination…

Silver Law Group is investigating former Coral Gables, Florida broker James P. Scullin (CRD# 1577362) for unauthorized trading in customer accounts among other allegations. According to Scullin’s FINRA BrokerCheck report, UBS Financial Services Inc. (CRD# 8174) terminated Scullin when UBS learned that he actively traded in an undisclosed commodities account…

Silver Law Group is investigating former Connecticut-based Investacorp, Inc. (CRD# 7684) broker Warren M. Rockmacher (CRD# 2005652) after FINRA suspended and then permanently barred the broker. Rockmacher currently has a FINRA arbitration pending that alleges unsuitable recommendations and misrepresentation with damages in the amount of $75,000. On May 12, 2016,…

Silver Law Group is investigation former Florida-based Fidelity Brokerage Services LLC (CRD# 7784) broker Michael J. DeBoer (CRD# 2114067) for allegedly conducting outside business activities without notifying Fidelity and losing his customers a great deal of money in the process. According to DeBoer’s FINRA BrokerCheck, FINRA permanently barred DeBoer in…