Securities Arbitration Lawyers Blog

The former New York broker has been accused of over-concentration Thomas Borruso can no longer act as a broker in the securities industry. In June of this year, he received a suspension from the Financial Industry Regulatory Authority (FINRA) stemming from a customer dispute. And when Borruso failed to provide…

Bao Quoc Vu CRD# 5090067 Silver Law Group is looking into former TD Ameritrade broker Bao Quoc Vu after a FINRA complaint alleging unsuitable investment recommendations related to Aequitas promissory notes was filed against him. According to FINRA’s BrokerCheck report on Vu, a FINRA complaint was filed in June of…

Allegations against the former broker include unauthorized trading, unsuitability, and fraud, among others With 38 years of experience in the securities industry, Boca Raton-based Stoever, Glass & Company, Inc. broker Larry Charles Wolfe has a total of 14 disclosures listed on his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. Most…

Schaedler is alleged to have exercised undue influence with elderly client owning $2.3 million-dollar estate. After 16 years in the securities industry, Wells Fargo Clearing Services broker James R. Schaedler is now indefinitely barred by the Financial Industry Regulatory Authority (FINRA). According to his FINRA BrokerCheck report, Schaedler was discharged…

William J. Paynter CRD# 2835535 Silver Law Group is reviewing Scottsdale, Arizona-based Wells Fargo broker William J Paynter after a customer filed a FINRA complaint alleging unsuitable investments. According to FINRA’s BrokerCheck report on Paynter, a complaint was filed alleging unsuitability during his time at Morgan Stanley with respect to…

Mark J. Flanagan CRD#1949836 Silver Law Group is investigating former Highland Park, Illinois-based Citigroup Global Markets broker Mark J. Flanagan after he failed to respond to an official request for information and was temporarily suspended by FINRA. According to FINRA’s BrokerCheck report on Flanagan, a FINRA complaint alleging unauthorized trading…

Ross A Stein CRD# 19616 Silver Law Group is investigating New York-based Wells Fargo broker Ross A Stein after a customer filed a complaint against him related to the purchase of Puerto Rico municipal bonds. According to Stein’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in June…

Lorenzo C. Esteva CRD#2170595 Silver Law Group is auditing former Miami, Florida-based UBS Financial Services broker Lorenzo C Esteva, after multiple customer allegations of unauthorized trading and misrepresentation. According to FINRA’s BrokerCheck report on Esteva, a FINRA complaint alleging unauthorized trading and misrepresentation was filed in July 2016. The complaint…

Mack L. Miller CRD#2822317 Silver Law Group is investigating New York, New York-based former Dawson James Securities Broker Mack L. Miller after multiple clients filed FINRA complaints alleging misrepresentation and excessive trading in client accounts. According to FINRA’s BrokerCheck report on Miller, a FINRA complaint alleging misrepresentation and excessive trading…

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…