Securities Arbitration Lawyers Blog

Dennis J. Murphy (a/k/a Dennis James Murphy) (CRD# 4840274), a previously-registered broker, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to appear for testimony in connection with a FINRA investigation concerning his employer’s supervision of potentially unsuitable trading. Failing to cooperate with…

Arthur Hoffman (a/k/a Arthur Stewart Hoffman, “Art S. Hoffman”, CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman allegedly sold to his clients…

On July 17, 2020, the Securities and Exchange Commission (SEC), brought fraud charges against David Hu, the co-founder and chief investment officer of International Investment Group (IIG), in Manhattan federal district court. A link to the charges can be found here. The SEC is charging Hu with running multiple fraudulent…

The SEC’s Division of Enforcement’s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are “broadly advertised”. Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments…

Blink Charging Company (BLNK) is the subject of a class action lawsuit that has been filed on behalf of investors, alleging securities fraud. Investors may have claims to recover losses. If you have losses from investing in Blink Charging Company (BLNK) stock, contact Silver Law Group for a no-cost consultation…

According to FINRA Disciplinary actions for August 2020, 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 August 2020, 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   Cynthia Barrera   Morgan Stanley Smith Barney   Morgan Stanley & Co. Incorporated   David…

According to FINRA Disciplinary actions for July 2020, 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   Joanna Abdelhadi…

Scott Silver, Silver Law Group’s managing partner, has been re-elected as the co-chair of the Securities and Financial Fraud Group of The American Association for Justice (AAJ), an advocacy group that promotes a fair and effective justice system. Scott is honored to be chosen to continue serving in his role…

Silver Law Group is investigating Fennec Pharmaceuticals (FENC) on behalf of investors who have losses from purchasing the company’s stock. The investigation concerns possible violations of federal securities laws by the company. If you have losses from investing in Fennec Pharmaceuticals Inc. (FENC) stock, contact Silver Law Group for a…