Securities Arbitration Lawyers Blog

Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. (CRD#: 10111) of Lake Worth, FL. He has been in the industry since 2000. Three customers filed disputes alleging that Hobbs made unsuitable investment recommendations in their non-PFS accounts. The disputes…

Silver Law Group is pleased to announce that it has won a FINRA arbitration award on behalf of two Boston, Massachusetts investors against AGES Financial Services. The investors sought legal representation after suffering substantial losses investing in GWG, a company which claimed to profit from investing in life insurance policies…

Joseph Todd (Joseph Michael Todd CRD# 1830390) is a previously registered broker and investment advisor whose last known employer was Centaurus Financial (CRD# 30833) of Crystal River, FL. Previously, Todd has worked for Investors Capital Corp. (CRD# 30613) and Edward Jones (CRD# 250) of Homosassa, FL and Invest Financial Corporation…

Most investors believe that their brokers will trade on their behalf with their best interests in mind. In fact, they’re required to in accordance with Regulation Best Interest, or Reg BI. In a nutshell, brokers must always use the investor’s best interest as their benchmark before making any recommendation. This…

Scott Silver, Silver Law Group’s managing partner, was recently interviewed by Fox35 in Orlando for a story about an in-home nursing assistant who opened a credit card in the name of her elderly patient, which she used to pay for her cosmetic surgery. A press release from the Volusia County…

­­Andrew Miles (­­Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. Previously, he was registered with The Strategic Financial Alliance, Inc. (CRD#:126514) of Vero Beach, FL. He has been in the industry…

Ron Filoramo (Ronald Ernest Filoramo CRD# 3270398) is a former broker and investment advisor last employed with Morgan Stanley (CRD# 149777) of Fort Lauderdale, FL. His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. (CRD# 8174) of Weehawken, NJ, and Ladenburg Capital…

William Conn (William Joseph Conn CRD# 1477107, aka “Bill Conn”) is a currently registered broker and investment advisor with International Assets Advisory, LLC (CRD#: 10645) of San Francisco, CA. His previous employers include Raymond James & Associates, Inc. (CRD#:705, broker and investment advisor) J.P. Morgan Securities LLC (CRD#:79), and Deutsche…

According to FINRA Disciplinary actions for October 2023, 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   Carl Birkelbach   Birkelbach Investment Securities, Inc.   Ronald Diaz   Morgan Stanley   J.P.…

According to FINRA Disciplinary actions for October 2023, 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…