Securities Arbitration Lawyers Blog

Christopher R. (“Cubby”) Bice is a registered broker and investment advisor currently employed with Sagepoint Financial, Inc. (CRD#: 133763) of Greensboro, NC. His previous employers include A. G. Edwards & Sons, Inc. (CRD#:4) of St. Louis, MO and UBS Painewebber Inc. (CRD#:8174) of Weehawken, NJ.  He has been in the…

Silver Law Group is investigating WeWork for potential violations of federal and state law by the company and its primary investor, SoftBank. The investigation comes on the heels of WeWork’s canceled initial public offering (IPO) and a $1.7 billion termination package for outgoing CEO Adam Neumann. There are reports that…

Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Staten Island, NY, Wells Fargo Advisors, LLC…

Maria Hendershott (CRD:# 818681) is a registered broker and investment advisor currently employed with Raymond James & Associates, Inc. (CRD#: 705) of Houston, TX. Her previous employers include Legg Mason Wood Walker, Incorporated (CRD#:6555) of Baltimore, MD, First Union Securities, Inc. (CRD#:19616) of St. Louis, MO, and Lovett Underwood Neuhaus…

Gregory Alan Ricker (CRD: 1834893) is a former registered broker and investment advisor whose last employer of record was Westpark Capital, Inc. (CRD#:39914) of Boca Raton, FL, which ended on 4/30/2019. According to Ricker’s CRD report, there is no information available on his termination from Westpark. His previous employers include…

David Harrison Miller (CRD: 4648882) is a currently registered broker and investment advisor employed by Peachcap Securities (CRD: 25590) in Atlanta, GA.  His previous employers include Investacorp, Inc. (CRD#:7684) and Ameriprise Financial Services, INC. (CRD#:6363), both of Atlanta, GA, and IDS Life Insurance Company (CRD#:6321) of Minneapolis, MN.  He has…

Shimson Plotkin (CRD: 2431863) is a currently registered broker and investment advisor who is currently employed with Independent Financial Group, LLC (CRD#: 7717) of Chevy Chase, MD.  His previous employers include Pacific West Securities, Inc. (CRD#:6390) and Cambridge Investment Research, Inc. (CRD#:39543), both of Chevy Chase, MD, and Royal Alliance…

Trevor Bradner Rahn (CRD: #2196155) is a former registered broker and investment advisor whose last employer was J.P. Morgan Securities LLC (CRD#:79) of Los Angeles, CA. His previous employers include Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, Morgan Stanley & Co., Incorporated (CRD#:8209) and Morgan Stanley DW INC.…

Antoine Nabih Souma (CRD: 4210987) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills,…

Debra Rae Lambert (CRD: 2238553) is a previously registered broker and investment advisor whose last employer was Raymond James & Associates, Inc. (CRD#:705) of The Villages, FL. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. G. Edwards & Sons, Inc. (CRD#:4, both of Smithtown, NY, and…