A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating the Parking REIT after the public, non-traded REIT suspended cash distributions and stock dividends to its shareholders. If you’ve invested in the Parking REIT or its affiliates, we may be able to help recover some of your money. The Parking REIT Ceases Distributions and Dividends…
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…
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…
Spencer D. Laufer CRD#6312867 Silver Law Group is investigating former New York, New York-based J.H Darbie & Co broker Spencer Laufer following a customer complaint alleging unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Laufer, a complaint was received in July of 2017 alleging that Laufer had provided unsuitable…
Peter J. Doyle CRD#2370593 Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse. According to FINRA’s BrokerCheck report on Doyle, a complaint was received in July…
On November, 2016, FINRA announced fines against five (5) Cetera Financial Group brokerage firm subsidiaries in an amount of $2.95 million for supervisory failures related to variable annuity L-shares. FINRA fined the following Cetera Financial Group-related firms: Cetera Advisor Networks LLC (CRD# 13572) of El Segundo, CA, was fined $750,000. Cetera…
The Financial Industry Regulatory Authority (FINRA) is the self-regulatory organization of the investment industry. As such, FINRA expects all registered brokers and firms to follow its best practice and ethics guidelines. Unfortunately, that doesn’t always happen. That’s why FINRA has developed a list of practice violations that can result in…