A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating former Miami, Florida EFG Capital International (CRD# 40118) broker Fernando de la Lama Merino (CRD# 2257749) after FINRA permanently barred him. According to Merino’s FINRA BrokerCheck report, FINRA initiated a regulatory action against Merino in October 2016. The action states, according to Merino’s BrokerCheck report,…
Silver Law Group is investigating California-based Kestra Investment Services, LLC (CRD# 42046) broker Tom A. Puentes (CRD# 1713812) amidst 23 disclosures on his FINRA BrokerCheck report. According to Puentes’ FINRA BrokerCheck report, Puentes has a total of 23 disclosures, with 15 settling for over $750,000. A large majority of the…
Silver Law Group is investigating Macon, Georgia-based Prospera Financial Services, Inc. (CRD# 10740) broker John N. Crook (CRD# 2715424) after a customer filed a $4.8 million complaint. According to Crook’s FINRA BrokerCheck report, a customer filed a FINRA arbitration against Crook in August 2016 alleging churning and excessive trading, unauthorized…
Silver Law Group is investigating former TradingBlock (CRD# 128605) broker Joshua D. Arnold (CRD# 828189) for recent allegations of negligence and unsuitable recommendations among others. According to Arnold’s FINRA BrokerCheck report, Arnold has thirteen (13) disclosures. His most recent was a FINRA arbitration filed in September 2016, and it alleges…
According to FINRA Disciplinary actions for January 2017, the following individuals were suspended 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 Kristen Denys…
According to FINRA Disciplinary actions for January 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS James Patrick Acosta Citigroup Global Markets Inc. Morgan Stanley Smith Barney Terrence…
According to FINRA Disciplinary actions for January 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 Debbie Sue…
Silver Law Group is investigating former Missouri-based LPL Financial LLC (CRD# 6413) broker Joseph A. Likens (CRD# 3084903) after a customer filed a FINRA arbitration alleging selling away, unsuitable recommendations and misrepresentation. According to Likens’ FINRA BrokerCheck report, Likens has five (5) disclosures. Most recently, a customer filed a complaint…
Silver Law Group is investigating former New York, New York-based Woodstock Financial Group, Inc. (CRD# 38095) broker Glenn McDowell (CRD# 2748337) after the broker was named in a FINRA complaint alleging unauthorized activity in a customer account. According to McDowell’s FINRA BrokerCheck report, FINRA named McDowell in a complaint in…
If you engaged in financial dealings with PFS Investments, Inc. broker Perry De Leeuw, you may have the right to try to recover your losses According to the Financial Industry Regulatory Authority (FINRA), Duluth, Georgia-based broker Perry De Leeuw has been permanently barred from acting as a broker or otherwise…