Securities Arbitration Lawyers Blog

According to FINRA Disciplinary actions for June 2025, 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 June 2025, 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 Jeu Emmanuel Delgado…

According to FINRA Disciplinary actions for May 2025, 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 Cassandra N. Heitz…

According to FINRA Disciplinary actions for March 2025, 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 March 2025, 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 John Douglas Engler Sr. Ameriprise Financial Services Wells Fargo Advisors LLC Joseph Alan Seidler RBC Capital…

According to FINRA Disciplinary actions for April 2025, 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 Eric Jason Abrahams Burch & Company Raymond James & Associates, Inc. James Burchett Cross Charles Schwab…

According to FINRA Disciplinary actions for April 2025, 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 Mark Brosa  …

According to FINRA Disciplinary actions for April 2025, 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…

If you invested in the 352 Capital Fund through Jefferies Financial Group Inc., contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. The U.S. Securities and Exchange Commission has filed indictments for fraud against two individuals over a fraudulent franchise scheme involving water purification…

Silver Law Group is investigating an alleged scheme to defraud 3|5|2 Capital ABS Master Fund LP (the “352 Fund”), which is a hedge fund that was part of Jefferies Financial Group’s Leucadia Asset Management (“Leucadia”). The former Leucadia portfolio manager of the 352 Fund, Jordan Chirico, was indicted for purportedly…