:
Updated:
American Finance Trust Tells Stockholders To Reject Latest McKenzie Offer
:
Updated:
Understanding Variable Annuity
:
Updated:
National Securities Corporation Stockbroker Ronald Rothchild
:
Updated:
Additional Allegations For Thomas Kelly For $500K
:
Updated:
FINRA Bars Broker Jackie Wadsworth
:
Updated:
Update On Shon Flaharty
:
Updated:
Churning Allegations Against Broker Paul DiPietro
:
Updated:
FINRA Bars Wisconsin Broker Daniel Flores
:
Updated:
FINRA Bars Miami Broker Alex Herrera
:
Updated:
FINRA Bars Ft. Lauderdale Broker Shakela Carter
:
Updated:
Cory Bataan of Emoire Asset Management Company
:
Updated:
Nick Son of Aegis Capital Corp
:
Updated:
Anthony Sica of Joseph Gunnar
:
Updated:
George Mathis of Raymond James & Associates
:
Updated:
John Maloney III of Woodbury Financial Services Inc.
:
Updated:
Douglas Leone of Salomon Whitney LLC
:
Updated:
John Galinsky of First Dominion Capital Corp.
:
Updated:
David Krumrey of Oppenheimer & Co., Inc.
:
Updated:
Vicente Davila of Morgan Stanley
:
Updated:
Steven Pagartanis of Lombard Securities Incorporated
:
Updated:
Denise DeBlasio of National Securities Corporation
:
Updated:
Marc Korsch of Centaurus Financial, Inc.
:
Updated:
Broker John Cione Subject of $600K Customer Dispute
:
Updated:
Ex-broker, Robert Basile, Pleads Guilty to Stealing $130,000 from his Elderly Mother
:
Updated:
In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Broker Jonathan Iraggi For Compliance Issue
:
Updated:
Customer Dispute Against Broker Anthony LaPadula Alleges Unsuitability
:
Updated:
Atul Makharia Customer Disputes Allege Unsuitability
:
Updated:
Broker Ricky Mantei Subject To Allegations Of Unsuitability
:
Updated:
Silver Law Group Client Wins FINRA Arbitration Award Against Texas Oil Broker-Dealer Including $1,000,000.00 in Punitive Damages
:
Updated:
Kevin Wilson Subject of Two Disputes Totaling $2.4M
:
Updated:
FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual
:
Updated:
November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules
:
Updated:
Three Customer Disputes Filed Against Robert Abramowitz
:
Updated:
Marc Kalter Discharged For Multiple Violations
:
Updated:
Did OptionSellers.Com Trade your IRA on Margin
:
Updated:
Commodities Fraud Attorneys Pursue INTL FCStone for OptionSellers.Com Investors
:
Updated:
Silver Law Group and the Law Firm of David R. Chase Files a Second FINRA Arbitration Claim Against Independent Financial Group Concerning Selling Away Claims
:
Updated:
Silver Law Group Files Securities Arbitration Claim Against Voya Financial Advisors and IFS Securities Regarding James Flynn
:
Updated:
Kari Bracy
:
Updated:
OptionSellers.Com Suffers Losses After Natural Gas Declines
:
Updated:
Broker Dominick Diorio Charged With Unauthorized Trading
:
Updated:
Craig Bonn Subject Of Excessive Trading Allegations
:
Updated:
Thomas Kelly Customer Disputes Total Over $1M
:
Updated:
Silver Law Group is Investigating Former Broker James T. Flynn
:
Updated:
Robert Ginsberg, Woodbury Financial, Subject of Two Suitability Claims
:
Updated:
FINRA Suspends Francisco Faraco For Forging Signatures
:
Updated:
The SEC’s Temporary Suspension Of Marijuana Company, CannaBusiness Group, LLC Trading
:
Updated:
Cannabis/Marijuana Litigation – FusionPharm
:
Updated:
SEC Charges Texas-Based Greenview In Cannabis Stock Fraud
:
Updated:
SEC’s Temporary Suspension of GrowLife (PHOT) Stocks
:
Updated:
SEC Suspends Pot Stock Advanced Cannabis Solutions/General Cannabis
:
Updated:
Lawyers Identify Red Flags of Securities Fraud
:
Updated:
Best Attorneys for Ponzi Scheme Victims
:
Updated:
Centaurus Financial Customer Disputes
:
Updated:
Scott Silver Teaches Securities Arbitration at University of Miami Law School
:
Updated:
In October 2018, Registered Individuals Suspended by FINRA for Failing to Comply with FINRA Rules
:
Updated:
October 2018 Disciplinary Actions Name Individuals Barred from FINRA for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules
:
Updated:
Parking REIT Files For $100M IPO After Raising Substantial Funds From Retail Investors
:
Updated:
Silver Law Group Files Claim Against Portfolio Advisors Alliance Alleging Brokers Churned Account and Racked Up Over $500,000 in Commissions
:
Updated:
James Flynn, Former South Carolina-based IFS Securities and Voya Financial Advisors Broker, Under Investigation
:
Updated:
Silver Law Group Has Filed Another FINRA Arbitration Claim Against Wells Fargo After it Broker Recommended Unsuitable Investments to Elderly Client
:
Updated:
Did Marco Azizi Sell You American Finance Trust, Inc.
:
Updated:
FINRA Bars Broker Kyusun Kim After Multiple Customer Complaints Of Unsuitability
:
Updated:
SEC Awards Two More Whistleblowers A Total of $54M
:
Updated:
CTFC Orders Restitution of $11.9M In Commodities Fraud
:
Updated:
SEC Charges Barry Honig In $27M South Florida Microcap Fraud
:
Updated:
SEC Charges Broker Jovannie Aquino
:
Updated:
SEC Charges Broker Emil Botvinnik With Excessive Trading, Churning
:
Updated:
Cybersecurity Breach Costs Voya Financial Advisors $1M In Fines
:
Updated:
Karl Foust Subject Of $1.1M In Customer Disputes With Wimbledon Health Partners Investments
:
Updated:
FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules
:
Updated:
September 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018
:
Updated:
Investment Center Broker Accused of Stealing $300K from Elderly Client
:
Updated:
FINRA Bars Broker Taek Chong After Allegations of $2M Commission Overpayment
:
Updated:
FINRA Bars Broker William Downing, Allegations of $1M Excess Trading
:
Updated:
Dennis Farrah Accused of Securities Fraud
:
Updated:
FINRA Issues a Suspension for Network 1 Financial Services Wills Henriquez
:
Updated:
FINRA Hands Satya Brata Shaw Six-Month Suspension and $10K Fine
:
Updated:
H.J. Sims Broker Laurence Green Accused Of Churning, Unsuitability
:
Updated:
National Securities Corporation: Frequent Customer Disputes with FINRA
:
Updated:
Broker Hector May Investigated For Possible Ponzi Scheme And Defrauding Clients of $3.4M
:
Updated:
James Edward Knee
:
Updated:
Former Broker Thomas Logue Subject Of Multiple Disclosures
:
Updated:
Broker Dana Davis Subject Of Customer Disputes, Excessive Trading
:
Updated:
Broker Patrick Maddren
:
Updated:
Securities Arbitration Lawyer v. a Non-Attorney Representative?
:
Updated:
Scott Silver Quoted In Investment News Article On Woodbridge SEC Charges
:
Updated:
Silver Law Group Featured In Investment News On 1st Global Capital Bankruptcy
:
Updated:
Former Boston, Massachusetts-based Morgan Stanley Brokers Under Investigation for Allegedly Stealing Almost Half a Million from Elderly Client
:
Updated:
Silver Law Group and Law Firm of David R. Chase File Case Against Independent Financial Group for Selling Away
:
Updated:
FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading
:
Updated:
FINRA Bars Former Raymond James Broker Stephen Murray After Allegations, Tax Lien
:
Updated:
Laidlaw Broker Paul Prestia Barred By FINRA After $160K In Tax Liens
:
Updated:
FINRA Bars Broker Meaghan Johnson After Allegations in Eight Customer Complaints Totaling $1.3M in Damages
:
Updated:
Some of National Securities Corporation’s FINRA-Reported Brokers
:
Updated:
FINRA Bans Broker Ramon Herrera
:
Updated:
FINRA Suspends IFS Broker James Flynn
:
Updated:
Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims
:
Updated:
Update On Raymond James Broker Matthew Werthe
:
Updated:
Bradley Tennison Discharged and Barred By FINRA After Selling Away Allegations
:
Updated:
Senior Citizens in Florida Reportedly Scammed into Investing in Fake Fish Farm
:
Updated:
FINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules
:
Updated:
In August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
UBS Financial Advisor Walter Stucker
:
Updated:
Former Broker Frank Zito Discharged From Merrill Lynch
:
Updated:
Client Alleges Broker Robert Yasnis Churned Accounts
:
Updated:
Christopher Kane Subject of $871K Customer Dispute
:
Updated:
Former Broker Shaun Hayes Accused Of Unauthorized Trading
:
Updated:
Bank Fraud Allegations Terminate Broker Larry Templin
:
Updated:
Worden Capital and Mark Kolta
:
Updated:
Brokers Who Sold American Finance Trust Under Investigation; AFIN Begins Public Trading 40% Less than What Investors Initially Purchased it for
:
Updated:
The SEC Has Proposed New Regulations for Fiduciaries
:
Updated:
Broker Michael B. Barnett Allegedly Invests Client Funds in Speculative Securities
:
Updated:
Broker Robert Cleary Subject to Negligence Allegations
:
Updated:
FINRA Suspends Registered Individuals in July 2018 for Failure to Comply with FINRA Rules
:
Updated:
In July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules
:
Updated:
Multiple Complaints Against Former Broker Michael Fitz-Gerald
:
Updated:
Broker Shon Flaharty In $500K Dispute
:
Updated:
Securities Arbitration Claims Against National Securities Corp.
:
Updated:
Former Broker Ernest Romer Barred By FINRA After Two Investigations
:
Updated:
FINRA Gives Broker Jeffrey Fanning Suspension, Fines
:
Updated:
FINRA Suspends Walter Parker For Unsuitable Investments
:
Updated:
Broker Michael Rosalia Subject Of Multiple Judgments, Tax Liens
:
Updated:
Broker Stephen Sullivan Subject of 8 Disclosures
:
Updated:
Jason McBride
:
Updated:
Broker Howard Utz The Subject Of Two Investigations
:
Updated:
Broker Ray Reese Subject Of Five Customer Dispute Disclosures
:
Updated:
FINRA Bars Broker Scott Palmer
:
Updated:
FINRA Bars Broker John Maccoll After Fraud Allegations
:
Updated:
FINRA Bars Gregory LeVine For Failure To Respond
:
Updated:
Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation
:
Updated:
Charles Kenahan
:
Updated:
FINRA Suspends Broker Brian Hussey Following Allegations Of Unsuitable Recommendations
:
Updated:
Investment Fraud Attorneys for American Finance Trust, Inc. (AFIN) Losses
:
Updated:
Securities Arbitration Lawyers Investigate American Finance REIT After it Drops 40%
:
Updated:
1st Global Capital Bankruptcy Affects Investors in Knoxville, TN
:
Updated:
Silver Law Group Files a FINRA Arbitration Claim Against Centaurus Financial Concerning Unsuitable Recommendations by a Broker
:
Updated:
Silver Law Group Wins $1.5 Million Securities Arbitration Award for Unsuitable Private Placement
:
Updated:
Oscar Francis
:
Updated:
FINRA Bars Broker Sean Brady For Possible Improper Sales Practices
:
Updated:
FINRA Bars Former Broker William Brunner After Customer Complaints
:
Updated:
SEC Charges Texas Pastor and Former Louisiana Broker with Money Laundering and Wire Fraud
:
Updated:
Former Raymond James and Moors & Cabot Broker Scott Sibley Under Investigation for Unauthorized Trading
:
Updated:
Silver Law Group Investigates Perry Santillo Jr. of High Point Wealth Management
:
Updated:
Criminal Charges And Additional Complaints Against Former Broker Matthew Eckstein
:
Updated:
Broker Cindy Chiellini Subject Of Three Customer Disputes
:
Updated:
Bank Of America Sued Over Ponzi Scheme
:
Updated:
Donald Fowler Charged With Excessive Trading And Churning
:
Updated:
Worden Capital’s Broker Gregory Dean Charged With Churning
:
Updated:
Morgan Stanley Advisor Barry Garapedian
:
Updated:
Merrill Lynch Broker Anteneh Roberts Banned By FINRA After Misconduct Allegations
:
Updated:
Stockbrokers Selling Away Securities Arbitration Claims
:
Updated:
SEC Charges Former Broker Steven Pagartanis For – Banned by FINRA
:
Updated:
Silver Law Group is Investigating Thomas Murray of FSC Securities Corporation
:
Updated:
Silver Law Group is Investigating John Bryant of Wells Fargo Clearing Services, LLC
:
Updated:
Silver Law Group is Investigating Mark Kolta of National Securities Corporation
:
Updated:
Silver Law Group is Investigating Samuel Haddix of Ameriprise Financial Services, Inc.
:
Updated:
Silver Law Group is Investigating David Olson of Morgan Stanley
:
Updated:
Silver Law Group is Investigating Sanders Spangler of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating Gary Basralian of Royal Alliance Associates, Inc.
:
Updated:
Silver Law Group is Investigating Lawrence Fawcett, Jr. of Westpark Capital, Inc.
:
Updated:
Silver Law Group is Investigating Joshua Ellis of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating David Barber of Madison Avenue Securities
:
Updated:
Florida Law Firm Silver Law Group is Investigating Thomas Meier of Morgan Stanley
:
Updated:
Rare Diamond Investment Fraud Attorneys – Rare Diamond Investment Fraud
:
Updated:
Suspect You (or a Loved One) are a Victim of Elder Financial Fraud?
:
Updated:
Silver Law Group Wins Securities Arbitration Award Against Former Naples, Florida-based Kovack Securities Broker Curtis D. Milakovich
:
Updated:
Akers Bioscience and Aegis
:
Updated:
Recro Pharma’s Investment Banker and Underwriter was Aegis Financial in Recro Pharma’s 2014 IPO
:
Updated:
Mitchell Yanow Barred by FINRA After Conversion of Customer Funds
:
Updated:
Silver Law Group Wins $1.5 Million Securities Arbitration Award for Unsuitable Private Placement
:
Updated:
Protecting Alzheimer’s Patients from Financial Fraud
:
Updated:
Daniel Glick Gets 12 Years in Jail for Elder Financial Fraud
:
Updated:
FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in June 2018 for Failing to Comply with FINRA Rules
:
Updated:
Texas, Louisiana Senior Investors Targeted in $3.8 M Ponzi Scheme Costing Them Their Life Savings
:
Updated:
Did National Securities Recommend Restoration Robotics?
:
Updated:
Silver Law Group is Investigating Carlos Evertsz-Seda of K.C. Ward Financial
:
Updated:
Silver Law Group is Investigating Craig Blattner of Cetera Advisors
:
Updated:
Silver Law Group is Investigating Peter Holler of Securities Service Network
:
Updated:
Silver Law Group is Investigating Richard Minichino of Next Financial Group
:
Updated:
Silver Law Group is Investigating Vicente Davila of Morgan Stanley
:
Updated:
Silver Law Group is Investigating Alan New of NYLife Securities LLC
:
Updated:
Silver Law Group is Investigating Frank Dietrich of Quest Capital Strategies, Inc.
:
Updated:
Silver Law Group is Investigating David Ridenour of Wells Fargo Clearing Services
:
Updated:
FINRA Bars Broker Christopher Hibbard After Separation from Merrill Lynch
:
Updated:
Broker Craig Blattner Suspended By FINRA
:
Updated:
State of Arkansas Bars Worden Capital’s Yousuf Saljooki For Five Years
:
Updated:
Former Broker Peter Orlando Accused Of Improperly Obtaining Control Of Client’s Affairs
:
Updated:
Insurance Agent James E. Hocker Charged In $1.27 Million Ponzi Scheme
:
Updated:
FINRA Bars Broker John Greg Schmidt After Misappropriation Allegations
:
Updated:
National Securities Corporation and Restoration Robotics, Inc. Subject of Class Action
:
Updated:
6 Tips that Can Help Prevent Elder Fraud
:
Updated:
FINRA Permanently Bars Kimberly Pine Kitts After Allegations
:
Updated:
Nathan Hooker and Wells Fargo
:
Updated:
Jeffrey Hawley and Wells Fargo
:
Updated:
Broker Adam Goodman Subject of FINRA Arbitration Claims
:
Updated:
Jeffrey Alan Glusman, Merrill Lynch Broker
:
Updated:
Broker Lee Robert Donais Subject Of $200K Dispute
:
Updated:
Keith D’Agostino
:
Updated:
FINRA Examines Claim Against Aegis Broker James Mariani For Negligence
:
Updated:
Broker David Schmerber Subject of Customer Dispute
:
Updated:
Former Broker James Pettit Barred By FINRA
:
Updated:
FINRA Investigates Broker Matthew Eckstein For Fraud
:
Updated:
Silver Law Group is Representing Investors in the $102 Million First Nationle Solution, LLC Ponzi Scheme
:
Updated:
First Nationle Solution LLC, United RL Capital Services, and Percipience Global Corp. $102 Million Ponzi Scheme Attorneys
:
Updated:
Why are the Elderly More Susceptible to Financial Fraud?
:
Updated:
Century Securities Associates Broker Bernard McLaughlin Jr. Under Investigation After Declaring Bankruptcy
:
Updated:
Former Transamerica Financial Advisors Broker Robert Perta Under Investigation After Customer Files a $4.2 Million Complaint
:
Updated:
South Florida Raymond James Broker Victor T. Connor Under Investigation After Customer Brings $300,000 Complaint Alleging Unsuitability
:
Updated:
Former South Florida-based LPL Financial Broker Pedro O. Diaz Under Investigations After Termination from LPL Financial
:
Updated:
FINRA Bars Former LPL Financial Broker Sonya Camarco After SEC Brings Charges Alleging Misappropriation of $2.8 Million of Client Funds
:
Updated:
FINRA-barred New Jersey Broker Robert B. Delguercio Under Investigation Due to 15 Disclosures on his BrokerCheck Report
:
Updated:
Former Summit Brokerage Services broker Thomas J. Vilord Under Investigation After FINRA Bar
:
Updated:
Fort Lauderdale, Florida Westpark Capital Broker Patrick H. Maddren Under Investigation After Churning Complaint Settles for $300,000
:
Updated:
DeVere Investment Fraud Victims
:
Updated:
Pension Fund Fraud Recovery Attorneys
:
Updated:
Puerto Rico Bonds Sold by Former Morgan Stanley Broker Angel Aquino
:
Updated:
Even the Rich and Famous Can be Victims of Elder Financial Fraud
:
Updated:
SEC Charges Essex Capital Corporation and Securities Fraud Recidivist Ralph Iannelli in $80 Million Fraud
:
Updated:
NYSE Brings Action Against Edward Wedbush and Wedbush Securities
:
Updated:
Silver Law Group is Investigating Timary Delorme of Wedbush Morgan Securities
:
Updated:
Silver Law Group is Investigating Wedbush Securities, Inc.
:
Updated:
What is a Securities Pump and Dump Scheme?
:
Updated:
FINRA’s Failure to Supervise Rule
:
Updated:
Securities Regulatory Authorities Were Well Aware of Problems with Wedbush Securities
:
Updated:
5 Common Financial Scams Aimed at Seniors
:
Updated:
A New SEC Proposal Aims to Protect Investors
:
Updated:
Silver Law Group Reminds Shareholders with Investments Losses in Cancer Genetics, Inc. of Class Action Lawsuit and Upcoming Deadline – CGIX
:
Updated:
Individuals Barred by FINRA in May 2018 for Failing to Comply with FINRA Rules
:
Updated:
May 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in May 2018 for Violations of FINRA Rules
:
Updated:
Coastal Equities Broker Luke Johnson Under Investigation for Unsuitable Non-traded REIT Recommendations
:
Updated:
Royal Alliance Associates Arbitration Lawyer
:
Updated:
Broker Gary Basralian Barred, Arrested After Allegations Of Using Client’s Moneys For His Own Expenses
:
Updated:
FINRA Bars Stifel Nicolaus Broker John M. James After Refusing To Testify
:
Updated:
Centaurus Financial
:
Updated:
Silver Law Group is Investigating Gary Strange of Princor Financial Services Corporation
:
Updated:
Silver Law Group is Investigating Lawrence Hagedorn of Ascend Financial Services, Inc.
:
Updated:
Silver Law Group is Investigating Larry Wolfe of Herbert J. Sims & Co., Inc.
:
Updated:
Silver Law Group is Investigating Marcus Parker of Wells Fargo Clearing Services, LLC
:
Updated:
Silver Law Group is Investigating Jeffrey Palish of Wells Fargo Clearing Services, LLC for Elder Financial Fraud
:
Updated:
Silver Law Group is Investigating Truitt Ficklin of Cetera Investment Services LLC
:
Updated:
Silver Law Group is Investigating Phillip Johnson of SunTrust Investment Services, Inc.
:
Updated:
Scott Silver Speaks at Class Action Mastery and Mass Tort Med School Conference
:
Updated:
Credit Unions Aim to Stop Elder Financial Fraud
:
Updated:
FINRA Bars Broker Kenneth Stewart Tyrell For Failure To Disclose Outside Business Dealings
:
Updated:
FINRA Suspends Ryan Michael Murnane
:
Updated:
FINRA Bars Broker Charles Henry Frieda After Multiple Allegations of Unsuitable Investments
:
Updated:
FINRA Bars Broker Charles Bernard Lynch, Jr. After 50+ Customer Disputes
:
Updated:
Silver Law Group is Investigating Joseph Alan Lavigne of Spencer Edwards, Inc.
:
Updated:
Silver Law Group is Investigating Gary M. Strange of Principal Securities Inc.
:
Updated:
Silver Law Group is Investigating John Greg Schmidt of Stifel Nicolaus & Company, Inc. and Wells Fargo Advisors Financial Network LLC
:
Updated:
How to Report Elder Financial Fraud
:
Updated:
Silver Law Group Files Claim Against Westpark Capital and Brokers Concerning the Horizon Select Technology Fund
:
Updated:
Silver Law Group is Investigating Sonya D. Camarco of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating Cornelius Peterson of Morgan Stanley Smith Barney
:
Updated:
Managing Partner of the Silver Law Group is Interviewed by Television Station Regarding Unlicensed Brokers and Ponzi Schemes
:
Updated:
Silver Law Group is Investigating James S. Polese of Morgan Stanley Smith Barney
:
Updated:
Silver Law Group is Investigating Joseph Francis Valdini of Worden Capital Management LLC
:
Updated:
Silver Law Group is Investigating Joseph Daniel Krueger, II of Stifel, Nicolaus, & Company
:
Updated:
Alyssa Jeanette Rakovich
:
Updated:
FINRA Suspends Broker Shane Jason Kelly
:
Updated:
MVP REIT/The Parking REIT Losses
:
Updated:
Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Disciplinary Actions for April 2018 Name Individuals Barred for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in April 2018 for Violations of FINRA Rules
:
Updated:
FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds
:
Updated:
Craig Joseph Mardany
:
Updated:
FINRA Suspends Gregory Alan LeVine For Failure To Respond
:
Updated:
Former Cuna Brokerage Services Broker Stacy Cheney-Jamison Under Investigation After Customer Files Investment Fraud Claim
:
Updated:
FINRA Permanently Bars Carlos Nester Evertsz-Seda After Second Suspension
:
Updated:
Broker Bradley Everett Gardner Accused Of Churning, Resigns After Accepting Customer Check In His Name
:
Updated:
FINRA Suspends Broker Lorene Fairbanks For Improper Financial Relationship With Client And Improper Communications With Client
:
Updated:
FINRA Suspends Broker Jeffrey Paul Dragon For Excessive UIT Trading
:
Updated:
Palm Beach Broker Gary Edward Adkin Subject of Negligence Claim
:
Updated:
Reporting Failures Cost Aegis Financial $1.3M In Fines
:
Updated:
FINRA Investigates Jason Eric Zwibel In $2.6m Customer Dispute
:
Updated:
Silver Law Group is Investigating Logan Burch Phillips, Jr. of Raymond James & Associates
:
Updated:
Silver Law Group is Investigating Scott William Palmer of Janney Montgomery Scott, LLC
:
Updated:
Silver Law Group is Investigating Edward Vincent Mirabella, Jr. of National Securities Corporation
:
Updated:
Silver Law Group is Investigating Richard Shotz of Wells Fargo
:
Updated:
Silver Law Group is Investigating Melvin Case of LPL Financial
:
Updated:
Silver Law Group is Investigating Kimberly Kitts of Royal Alliance Associates
:
Updated:
Silver Law Group is Investigating Kevin Graetz of Paulson Investment Company
:
Updated:
Silver Law Group is Investigating Minish Joe Hede of Paulson Investment Company
:
Updated:
Silver Law Group is Investigating Benjamin Aibel of Wunderlich Securities
:
Updated:
FINRA Investigates Allegations Against Broker Matthew Jordan Werthe Totaling $1.3m
:
Updated:
FINRA Bans Broker Michael Alan Siegel After Repeated Complaints and Investigations
:
Updated:
Discharged Morgan Stanley Broker Charles Albert Dixon Is Permanently Barred By FINRA
:
Updated:
What is the Parking REIT and What Brokerage Firms Sold the Non-traded REIT?
:
Updated:
The Parking REIT, f/k/a the MVP REIT and MVP REIT II, Under Investigation After It Suspends Dividend Payments
:
Updated:
Margin Calls: The Dangers of High Risk
:
Updated:
Colorado Investigates California-Based Peter Gerhard Klaas For High Risk Trading, Seeking License Revocation
:
Updated:
Elder Financial Fraud Alert: Scrutinize Brokers Using a Senior Designation in Their Titles
:
Updated:
Silver Law Group is Investigating Stuart Updegrove of National Securities Corporation
:
Updated:
Silver Law Group is Investigating Gary Adkin of Stifel, Nicolaus & Company
:
Updated:
Silver Law Group is Investigating Marshall Cassedy, Jr. of Cassedy and Company
:
Updated:
SEC Investigation Of Morgan Stanley And Puerto Rico Bond Investments
:
Updated:
Registered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules
:
Updated:
In March 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules
:
Updated:
FINRA Rule 4512 Has New Amendments
:
Updated:
FINRA Rule 2165 Allows Members to Put Holds on Client Accounts
:
Updated:
FINRA’s Recent Rules Aim to Further Protect Elderly Investors
:
Updated:
Silver Law Group is Investigating Christopher Bennett of Hilliard Lyons
:
Updated:
Silver Law Group is Investigating Patrick Maddren of Laidlaw & Company
:
Updated:
Silver Law Group is Investigating Matthew Werthe of Raymond James Financial Services
:
Updated:
FINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules
:
Updated:
FINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules
:
Updated:
Silver Law Group is Investigating William Harrison of Stifel Nicolas & Company
:
Updated:
Silver Law Group is Investigating UBS Financial Services Broker James Dillon for Potential Unsuitable Recommendations Relating to Puerto Rico Municipal Bonds
:
Updated:
Wells Fargo Under Investigation for Abuse of Customer 401(k) Accounts
:
Updated:
Silver Law Group is Investigating Ralph Adamo of FSC Securities
:
Updated:
Silver Law Group is Investigating Joseph Cotter of Petersen Investments
:
Updated:
Silver Law Group is Investigating Thomas Lawrence of Ameritas Investment Corp.
:
Updated:
Silver Law Group is Investigating Mark Perry of Royal Alliance Associates, Inc.
:
Updated:
Silver Law Group is Investigating Bruce Cooke of Pennsylvania
:
Updated:
Angel Aquino of Morgan Stanley Claims for Puerto Rico Bonds
:
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Christopher Robert Hickman, formerly of Cetera Advisors, LLC.
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LJM Preservation and Growth Fund (LJMIX) Securities Lawsuit Investigation
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Scott Silver Participates in the University of Miami School of Law Class Action Forum
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James Randall Clay is Under Investigation by FINRA
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Silver Law Group Files FINRA Arbitration Claim Alleging Excessive use of Margin, High Commissions and Elder Financial Fraud on behalf of an Unsophisticated Retiree
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Silver Law Group Investigates Garden State Securities, Inc. Broker Jason Eric Zwibel for Potential Securities Violations
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Silver Law Group is Investigating Claims Against Former Legend Equities Corp. Broker Walter J. Marino for Alleged Unsuitable Recommendations and Charging Excessive Commissions in Customer Accounts
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Three Individuals Charged by the SEC for Defrauding Elderly Clients
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TD Ameritrade and Sheaff Brock Investment Advisors, LLC
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FINRA Suspends Registered Individuals in January 2018 for Violations of FINRA Rules
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January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
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FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules
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Silver Law Group Announces Filing of FINRA Arbitration Claim on Behalf of Customers of Stifel, Nicolaus & Company, Inc.
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Silver Law Group is Investigating Claims Against former Stifel, Nicolaus & Company, Inc. Broker Coleman J. Devlin for Unauthorized Trading in Customer Accounts
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SEC Accuses Daniel Vazquez of Running $2 Million Real Estate Investment Fraud
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Ernest Romer has been Barred from the Securities Industry
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FINRA has Permanently Barred Daniel Mullan from the Securities Industry
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December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules
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In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules
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FINRA Arbitration Claim Filed Against Joseph Weinrich and Moloney Securities Co.
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FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017
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Silver Law Group Is Investgating Claims Of Unsuitable Recommendations, Spencer Laufer, J.H Darbie & CO
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Jason Anderson, LPL Financial Under Investigation For Claims of Unauthorized Trading
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Silver Law Group is Investigating Claims Against Florida-Based Raymond James Broker Ramesh Madhusudan for Unsuitable Investments and Negligent Supervision
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Former Oklahoma-based Broker Jay Jordan Under Investigation Following a Customer Compliant Alleging Unsuitable Investment Recommendations and Misrepresentation
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Silver Law Group is Investigating Claims Against Wells Fargo Broker Carlos Mejia for Unsuitable Trading Activity
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Silver Law Group is Investigating Claims Against Florida-Based Merrill Lynch Broker for Unsuitable Investments, Churning And Misrepresentation
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California-based Hilltop Securities Broker Justin Parker Under Investigation Following a Customer Compliant Alleging Unsuitable Investment Recommendations and Elder Abuse
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Silver Law Group is Investigating Claims Against Florida-Based Merrill Lynch Broker James Lowther for Unsuitable Investments And Misrepresentation
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Alabama-based Principal Securities Broker Bettye Hay Under Investigation For Unsuitable Investment Recommendations and Misrepresenting an Investment Opportunity
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Silver Law Group is Investigating Claims Against PWA Securities Broker John Schneider for Unsuitable Trading Activity and Unauthorized Trading
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Michigan-based IMS Securities Broker Beth Debouvre Under Investigation For Unsuitable Investment Recommendations and Breach of Fiduciary Duty
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Utah-based Ameriprise Broker Kim Isaacson Under Investigation For Fraudulent Misrepresentation & Unauthorized Trading
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Silver Law Group is Investigating Claims Against Broker Englebert Sarmiento for Unauthorized Investment Activity
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New York-based UBS Financial Services Broker Michael Keane Under Investigation For Unsuitable Investment Recommendations
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Silver Law Group is Investigating Claims Against Florida-Based LPL Financial Broker Melvin Case for Unsuitable Investments, Churning And Exploitation of an Aged Adult
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Silver Law Group is Investigating Claims Against Oppenheimer & Co Broker David Krumrey for Unsuitable Trading Activity
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Chicago-based National Securities Corporation Broker Rick Konecny Under Investigation For Overconcentration and Unsuitable Investment Recommendations
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Silver Law Group Investigates Ernest Julius Romer and CoreCap for Misrepresentation & Unsuitability
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Silver Law Group is Investigating Claims Against Morgan Stanley Broker Peter Doyle for Unsuitable Investments
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New York-based LPL Financial Broker Thomas Borruso Under Investigation For Unsuitable Investment Recommendations
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Silver Law Group is Investigating Claims Against RBC Capital Markets Broker Bruce Cameron for Unsuitable Investments in Oil and Gas Master Limited Partnerships (MLPs)
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Financial Advisor Roger Kroeger Arrested for Embezzlement
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Roger Kroeger, Invest Financial Corporation: Misappropriated customers funds
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Clint Stoffels, UBS Financial Services: Unsuitable Investments
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Ricardo F. Guimares, Wells Fargo: Unsuitable Investment Advice.
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Jeffrey S. Thompson, LPL Financial: Unauthorized Investment Activity
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Harold Lauber, Herbert J. Sims & Co :Unsuitable Investment Recommendations
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NYC Securities Arbitration Lawyer Scott Silver
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Felipe Arrieta, Dakota Securities International
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Christopher Sinkula, Montgomery Scott: Unsuitable Investment Recommendations
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How to Spot Binary Options Fraud
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What the SEC Says About Binary Option Fraud Victims
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Why Working with a Binary Options Fraud Attorney Is a Wise Decision
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Binary Options Fraud Victims
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How to Properly Understand Binary Options Losses
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What the CFTC Says About Binary Options
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Binary Options Fraud Attorneys
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Silver Law Group Investigates Barry Kornfeld and First Financial Tax Group for the Sale of Woodbridge Products to Retirees
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Woodbridge Group of Companies’, aka Woodbridge Wealth, Declares Bankruptcy
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Woodbridge Wealth Securities Attorney
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Woodbridge Wealth and Woodbridge Group Victims
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Woodbridge Wealth and Woodbridge Group Losses
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Woodbridge Wealth Investment Fraud Lawyers
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Woodbridge Wealth’s Potential Fraud
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What the SEC Says About Woodbridge Wealth
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Woodbridge Wealth and Woodbridge Group of Companies SEC Investigation
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FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules
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Registered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules
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FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017
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Registered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules
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In October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules
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FINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules
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FINRA Suspends Registered Individuals in September 2017 for Violations of FINRA Rules
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September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules
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FINRA Bars Registered Individuals in September 2017 for Failure to Comply with FINRA Rules
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FINRA Suspends Registered Individuals in August 2017 for Violations of FINRA Rules
:
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FINRA Suspends Registered Individuals in August 2017 for Failing to Comply with FINRA Rules
:
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In August 2017, FINRA Barred Registered Individuals for Failure to Comply with FINRA Rules
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FINRA Suspends Registered Individuals for Violations of FINRA Rules in July 2017
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Registered Individuals Suspended in July 2017 by FINRA for Failing to Comply with FINRA Rules
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FINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules
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The Woodbridge Group of Companies is Under Investigation by the SEC
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Woodbridge Wealth is Not Registered with the SEC or FINRA
:
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Woodbridge Group of Companies Principal Robert Shapiro Takes the 5th Amendment
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Woodbridge Group of Companies Under SEC Investigation
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FINRA Reports Brokers Nas Adel Allan and Gregory Anastos Made Unsuitable Recommendations
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Woodbridge Group of Companies’s CEO and President Robert Shapiro Pleads the Fifth in SEC Investigation Over $1 Billion Fraud
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LP Customer Compliants
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Shreveport, LA-based Raymond James & Associates Discharges Broker James Edward Lyons
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LPL Financial Broker Cory Burnell Under Fire for Unsuitable Investment Advice After Selling Inverse EFTs
:
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Christian Desmond Fautz is Suspended from the Securities Industry
:
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James Vincent Marino : Elder Financial Fraud Alert
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Regan A. Rohl, Wells Fargo
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SEC Files Complaint Against Matthew C. Griffin and William D. Griffin Over Alleged Misrepresentations Concerning Payson Petroleum Offerings
:
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Payson Petroleum, based in Bartonville Texas, and its Private Offerings Under Investigation After Payson Companies Declare Bankruptcy
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James E. Lyons, Raymond James
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Michael P. Mctigue, Newbridge Securities
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Richard S. Botkin, Morgan Stanley
:
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The Elder Abuse Prevention and Prosecution Act
:
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FINRA Suspends Christopher Anthony Fernan
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LPL Financial, LLC (Linsco Private Ledger)
:
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Jack F. Bruscianelli, National Securities Corp.
:
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Thomas Joseph Borruso’s Career in the Securities Industry is Over
:
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Bao Quoc Vu, TD Ameritrade
:
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Boca Raton-Based Broker Larry Charles Wolfe Fined and Suspended by FINRA
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Wells Fargo Clearing Services Broker James R. Schaedler, Jr. Discharged by Firm, Barred by FINRA
Securities Arbitration Lawyers Blog
