A National Securities Arbitration & Investment Fraud Law Firm
FINRA has barred Michael Alan Siegel (CRD# 1950871) from “acting as a broker or otherwise associating with a broker-dealer firm.” Siegel was a previously registered broker and investment advisor and worked in the financial services industry since 1992. His last registered place of employment was with National Securities Corporation of…
Rick D. Konecny CRD#1727785 Silver Law Group is investigating former Chicago, Illinois-based National Securities Corporation broker Rick Konecny, after multiple customer allegations of misrepresentation, unsuitable recommendations and overconcentration were received by FINRA. According to FINRA’s BrokerCheck report on Konecny, a complaint was filed in August of 2017 alleging that during…
FINRA has barred Fort Lauderdale, Florida-based broker Douglas W. Studer (CRD# 4440047) for refusing to testify on the record in a FINRA-led investigation into whether Studer violated his employing firm’s policy by being named in an elderly customer’s estate documents to inherit the customer’s waterfront condominium. Studer was employed by…
Silver Law Group is investigating former New York-based broker Christopher J. Calandrino (CRD# 5238231) after he resigned from Joseph Stone Capital L.L.C. (CRD# 159744) for allegedly selling outside investments. According to Calandrino’s FINRA BrokerCheck report, Joseph Stone allowed Calandrino to voluntarily resign in October 2016 while the firm investigated him…
Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…
National Securities Corporation broker Michael O’Neill was suspended by FINRA for 20 days and fined $5,000 for impersonating a former customer to assist the customer in obtaining information from a FINRA member firm about the customer’s own account. This was apparently done with the customer’s approval. O’Neill has worked at…