A National Securities Arbitration & Investment Fraud Law Firm
Several customer disputes led to the sanction against the former Cetera Advisors, LLC broker As of June of 2016, Daniel Vasquez is no longer permitted to act as a broker. He was given a lifetime suspension from the Financial Industry Regulatory Authority (FINRA) for not offering any information regarding several…
Silver Law Group is investigating New Woodstock, New York-based National Securities Corporation (CRD# 7569) Leigh M. Garber (CRD# 2768572) after FINRA fined the broker $10,000 and suspended her for three months. According to Garber’s FINRA BrokerCheck report, in October 2016, FINRA and Garber entered into an Acceptance, Waiver & Consent…
Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…
Silver Law Group is investigating former Boston-based Revere Securities LLC (CRD# 14178) broker Noel Fleming (CRD# 2030824) after FINRA permanently barred him. According to Fleming’s FINRA BrokerCheck report, FINRA permanently barred Fleming in July 2016 when he failed to respond to a FINRA inquiry. Fleming’s BrokerCheck reflects that he racked…
Silver Law Group is investigating former Vermont-based LPL Financial LLC (CRD# 6413) broker Paul E. Dorion (CRD# 1103701) after FINRA permanently barred him According to Dorion’s FINRA BrokerCheck report, FINRA permanently barred Dorion from acting as a broker or otherwise associating with firms that sell securities to the public after…
Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Philip Brisard (CRD# 2646923) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…
Silver Law Group is investigating former Las Vegas, Nevada-based Ameriprise Financial Services, Inc. (CRD# 6363) broker Cheryl L. Wallace (CRD# 4839255) after she was discharged by Ameriprise for unauthorized trading among other allegations. According to Wallace’s FINRA BrokerCheck report, Wallace was discharged from Ameriprise in February 2016 after she allegedly…
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…