A National Securities Arbitration & Investment Fraud Law Firm
The Newbridge Securities Corporation broker allegedly provided false information to regulators, among other transgressions According to the Financial Industry Regulatory Authority (FINRA), Boca Raton broker James Ignatowich is reported to have failed to comply with a Consent Order entered into January 13, 2016 with the State of New Hampshire. As…
Though she is not currently licensed, she was last employed as a broker with Western International Securities in Washington, DC In August of 2016, Dawn Bennett was contacted by the Financial Industry Regulatory Authority (FINRA) with a request for information regarding an “investigation involving potentially serious violations.” Because Bennett didn’t…
The New Jersey broker faces an assortment of serious allegations Michael Siegel is no longer allowed to have anything to do with any member firms of the Financial Industry Regulatory Authority (FINRA). First suspended in July of 2016, Siegel was later permanently barred by FINRA for failing to respond to…
Silver Law Group is investigating former Raymond James & Associates, Inc. (CRD# 705) broker John Nelson Crook (CRD# 2715424) after a customer filed a FINRA arbitration alleging $4.8 million in damages. According to Crook’s FINRA BrokerCheck report, Crook’s customer filed a FINRA arbitration against Crook alleging churning/excessive trading and commissions;…
Silver Law Group is investigating Wesley Chapel, Florida-based Center Street Securities, Inc. (CRD# 26898) broker Satya Brata Shaw (CRD# 1229175) after the Florida Office of Financial Regulation opened an investigation into the broker. Our firm is interested in speaking with you if you have worked with Shaw. In November 2016,…
The Revere Securities LLC broker’s 26-year securities career is over After 26 years in the securities industry, Noel Fleming has been permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with firms that sell securities to the public. In December 2015, a…
The Boston-based broker has been permanently barred by FINRA According to the Financial Industry Regulatory Authority (FINRA), Boston-based broker Rushton Leigh Ardrey failed to respond to the agency’s request for information and has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…
According to FINRA Disciplinary actions for December 2016, 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 Maricela Alvarez…
According to FINRA Disciplinary actions for December 2016, 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 Keeland Douglas Howe Wells Fargo Advisors, LLC UBS Financial Services Inc. Christopher…
According to FINRA Disciplinary actions for December 2016, 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 Troy Christopher…