Securities Arbitration Lawyers Blog

Silver Law Group is currently investigating possible securities law violations and breaches of fiduciary duties against Ivy Asset Strategy Fund (WASAX)  and Waddell & Reed Asset Strategy Fund (UNASX), both wholly-owned subsidiaries of Waddell & Reed Financial, Inc. (NYSE: WDR). On May 15, 2014, Ryan C. Caldwell, a co-portfolio manager…

Key Information to know before you get started. While the potential gains associated with securities trading in a margin account may be substantial, so can the potential losses. This is critical for investors to understand, along with the facts and risks associated with this type of trading. Simply put, a…

Silver Law Group represents investors in securities and investment fraud cases and has been retained to represent investors who have suffered losses in the energy markets, including investors who were solicited to purchase investments in oil, gas and energy, stocks, bonds, Master Limited Partnerships (“MLPs”) and funds. Many energy investments…

Dallas securities broker Wade Lawrence was given a three-year prison sentence January 20, 2015 by a Texas federal judge after pleading guilty to offering false investments that defrauded his friends and business associates out of more than $1.5 million for his own benefit. The federal court also ordered Lawrence, 43,…

According to FINRA Disciplinary actions for January 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   William Walter Almond   Morgan Stanley   New England Securities   William Austin Bailey  …

According to FINRA Disciplinary actions for January 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   Raymond Aleksey…

According to FINRA Disciplinary actions for January 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   Antonio Ambrosio…

Buckner can no longer act as a broker or associate with any member of FINRA in any capacity Joe L. Buckner has been barred by FINRA as of December 2015. As a result of his refusal to respond to the FINRA’s request for information, the Texas broker can no longer…

After multiple allegations and failure to supervise, New York broker Marc Arena faces stiff FINRA suspension. Newport Coast Securities broker Marc Arena has received a suspension from the Financial Industry Regulatory Authority (FINRA) for failing to adequately supervise a member of his FINRA registered firm. He allegedly did not take…

Silver Law Group (www.silverlaw.com), along with the law firm of Wites & Kapetan, P.A., has filed a nationwide class action lawsuit in federal court against Florida-based cryptocurrency exchange operator Cryptsy and its principal, Paul (“Big Vern”) Vernon.  Over the past several months, numerous Cryptsy account holders have been denied access…