Securities Arbitration Lawyers Blog

Robert Anthony Guidicipietro (CRD#: 1588069, aka “Robert A. Peters”) is a currently registered broker and investment advisor employed at Alexander Capital, L.P. (CRD#: 40077) of New York, NY. His previous employers include Arive Capital Markets (CRD#:8060) of Bay Ridge, NY, Aegis Capital Corp. (CRD#:15007), Holmdel, NJ, and Obsidian Financial Group,…

Investors who own GWG L Bonds have grown increasingly concerned after GWG announced in a form 8-K filed with the SEC that it would not pay investors dividends owed for January 15, 2022. Silver Law Group represents GWG L Bonds investors, and may be able to help you recover your…

Alan Appelbaum (Alan Zelig Appelbaum, CRD# 500336) is a previously registered broker who last worked for Aegis Capital Corp. in their Boca Raton, FL office. Appelbaum previously worked for Herbert J. Sims & Co. Inc., Ryan, Beck & Co., LLC, Gruntal & Co., LLC, and several other firms. He had…

If Emerson Equity sold you an L Bond from GWG Holdings, Silver Law Group may be able to help you recover your investment losses. Silver Law Group currently represents GWG L Bonds investors. Please contact us at 800-975-4345 for a no-cost, confidential consultation. Emerson Equity works with GWG to sell…

German Nino (CRD#: 2653707, aka, “German Nio”), is a former broker and investment advisor last employed with UBS of Coral Gables, FL. His earlier employers include HSBC Securities (USA) Inc. (CRD#:19585), also of Coral Gables, Atlas One Financial Group, LLC (CRD#:124057) of Miami, and A. G. Edwards & Sons, Inc.…

According to FINRA Disciplinary actions for January 2022, 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   Arely Alvarez…

According to FINRA Disciplinary actions for January 2022, 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. However, these individuals remain bound by…

According to FINRA Disciplinary actions for January 2022, 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   Michael Gardner   Cantor Fitzgerald & Co   J.P. Morgan Securities LLC   Ganesh Iyer…

GWG Holdings, Inc. announced that it would not make dividend payments on its L Bonds for January 15, 2022 in a form 8-K filed with the Securities and Exchange Commission (SEC). The 8-K also stated that the company’s board of directors had authorized management to retain the services of a…

It was an investment strategy that was supposed to have limited ties with the market or even a single stocks position. The plan was to deliver consistent income with a minimal amount of risk. Touted as a low-risk alternative to traditional investing, the YES strategy offered an alleged safer  investment…