A National Securities Arbitration & Investment Fraud Law Firm
Mario Martinez (Mario L. Martinez, CRD# 6144561) is a former registered broker and investment advisor last employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691) of Fort Lauderdale, FL. He was previously employed with AXA Advisors, LLC (CRD# 6627) of Miami, FL, and has been in the industry since…
When a broker-dealer terminates a broker, it doesn’t mean the problems are gone. Some firms continue to deal with those problems for some time. In the case of United Planners’ Financial Services of America, they are still handling the fallout from the firm’s former broker, Philip Anthony Riposo (CRD# 400056),…
Have you suffered losses after your broker recommended buying shares of the Aegis-underwritten company Farmmi? This is one of many Aegis-backed companies that has cost investors big losses. Silver Law Group is a securities law firm that looks after investors’ interests. If you or someone you know have suffered losses…
Sanford Simmons (Sanford Graham Simmons CRD# 1018907, aka, “Sandy Simmons Jr, Sanford Graham Simmons Jr, Sanford Graham (Jr) Simmons”) is a previously registered broker and investment advisor last employed with Saxony Securities, Inc. (CRD# 115547) of Castle Rock, CO. Recent employers include Patrick Capital Markets, LLC (CRD# 16518), also of…
Silver Law Group is investigating Starwood Real Estate Income Trust on behalf of investors who may have bought or acquired securities and lost money resulting from the REIT. If you invested in Starwood Real Estate Income Trust (SREIT) and have questions about your legal rights, or information relevant to this…
Silver Law Group is currently investigating potential claims of investors receiving stock related to the recent merger of Cleveland-Cliffs, Inc. and Canadian company Stelco. If you suffered losses after investing, contact Silver Law Group to discuss your options. You may be eligible to recover your losses. The Merger And The…
Did your broker recommend buying shares in Document Security Systems (DSS) which was underwritten by Aegis Financial? Document Security Systems, Inc., is a multinational company now known as DSS that operates a variety of business segments including healthcare, direct marketing, consumer packaging, real estate, renewable energy, blockchain security, and securitized…
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 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 Yiu Yeung Pacific…
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 Steven Blanchard LPL Financial LLC Raymond James Financial Services, Inc. Michael Fasciglione Aegis Capital Corp. National…