A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating Cetera Advisors (CRD# 10299) broker Daniel B. Vazquez Sr. (CRD# 3141463) after FINRA permanently barred him. According to Vazquez’s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June 2016…
Silver Law Group is investigating former Feltl & Company (CRD# 6905) broker Lance J. Ziesemer (CRD# 2342087) for a plethora of filed FINRA arbitrations alleging unauthorized trading, unsuitable recommendations, and other securities misconduct, including activity involving unit investment trusts (“UITs”). According to Ziesemer’s FINRA BrokerCheck Report, Ziesemer has 12 disclosures,…
Silver Law Group is investigating former Texas-based Next Financial Group, Inc. (CRD# 46214) broker Tye Calvin Williams (CRD# 1271046) after allegations of unsuitable investments in Smashburger and a FINRA permanent bar. According to Williams’ FINRA BrokerCheck report, FINRA permanently barred Williams from acting as a broker or otherwise associating with…
Silver Law Group is investigating former Stifel, Nicolaus & Company, Incorporated (CRD# 793) broker Jon B. Schmidhammer (CRD# 1548931) after Stifel allowed him to resign following an arrest for allegedly stealing money from a client. According to Schmidhammer’s FINRA BrokerCheck report, FINRA permanently barred Schmidhammer from acting as a broker…
Silver Law Group is investigating former New York-based Morgan Stanley (CRD# 149777) broker Scott P. Alcus (CRD# 2983730) after FINRA barred him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. According to…
Silver Law Group is investigating former Long Island City, New York-based LPL Financial LLC (CRD# 6413) broker Michael Quiles III (CRD# 4351166) after FINRA suspended him. FINRA suspended Quiles in July 2016 after he failed to respond to a FINRA inquiry for information. The bar follows a discharge from LPL…
Silver Law Group is investigating Independent Financial Group, LLC (CRD# 7717) broker Russell Leo Sadler (CRD# 2600742) after FINRA suspended him for an entire year over allegations of conducting business outside of his firm. FINRA suspended Sadler for a full year in September 2016 after the regulatory body and Sadler…
Silver Law Group is investigating former Pennsylvania-based LPL Financial LLC (CRD# 6413) broker David Garrett Shaw (CRD# 4146204) after FINRA permanently barred him. FINRA permanently barred Shaw in August 2016 after he failed to respond to a FINRA inquiry for information. The bar permanently precludes Shaw from acting as a…
Churning and aggressive trading were two allegations leveled against the Vermont broker In July of 2016, the Financial Industry Regulatory Authority (FINRA) sent a letter out to broker Paul Dorion letting him know that he was being suspended due to a number of allegations. Dorion had until October to supply…
Silver Law Group is investigating former Meyers Associates, L.P. (CRD# 34171) broker John E. Buonocore (CRD# 2337214) after FINRA permanently barred him amidst unsuitable recommendations and churning allegations. This is the second Meyers Associates broker our firm has investigated at the same New York, New York location of Meyers Associates,…