A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for August 2021, 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 Omer Ali-Taha BB&T Investment Services, Inc. Citigroup Global Markets Inc. Katie Blando…
According to FINRA Disciplinary actions for August 2021, 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 Lorenzo Atkins…
According to FINRA Disciplinary actions for August 2021, 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 July 2021, 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 July 2021, 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 Trent Drake…
According to FINRA Disciplinary actions for July 2021, 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 David Allen Avenir Financial Group GunnAllen Financial, Inc. Jameile Cawley Horace…
When a person or entity runs any type of fraud, they generally go to great lengths to disguise their activities from the financial institutions to avoid fraud detection. Many banks have the power to put a stop to any illegal activity that involves their institution to avoid regulatory trouble. Wells…
Waterdrop Inc. (WDH) is the subject of a class action lawsuit, filed on behalf of shareholders, regarding alleged violations of the federal securities laws. If you have investment losses with Waterdrop Inc. (WDH), please contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. The deadline to apply to be…
Activision Blizzard, Inc. (ATVI) is the subject of a class action lawsuit regarding alleged violations of the federal securities laws. If you purchased shares of Activision Blizzard between August 4, 2016 and July 27, 2021 (class period), please contact Silver Law Group before October 4, 2021 at (800) 975-4345 or…
In 2020 alone, Todd Petersen was the subject of eight investor arbitration claims which relate to the sale of diamonds. Many of these claims have been settled, and Petersen’s employer, SCF Securities, Inc., discharged him, alleging Petersen “misstated and/or omitted material facts and circumstances regarding an outside business activity.” Todd…