:
Updated:
Richard Wesselt, Broker Formerly With O.N. Equity Sales Company, Subject Of 16 Disclosures
:
Updated:
SEC Gets Emergency Asset Freeze, Accuses The Income Store Of Being A “Ponzi-Like Scheme”
:
Updated:
FINRA Bars John Howley After Global Credit Recovery Scheme Losses of $5.8M
:
Updated:
Michael Carter Barred After Unauthorized Withdrawals Totaling $5.2M
:
Updated:
FINRA Bars Broker Stefan Pastor After Unauthorized Trading Allegations
:
Updated:
Roger Owens, Previously Of Cetera Advisors, Suspended By FINRA For Unauthorized Sale Of Woodbridge Promissory Notes
:
Updated:
Ricky Mantei Of Centaurus Financial Facing Numerous Customer And Regulatory Disputes
:
Updated:
Robert Douglas Armstrong Of Dawson James Securities, Inc.
:
Updated:
Customer Disputes Continue to Pile Up Against Katherine Greer Nishnic of Centaurus Financial, Inc. for Recommendations of Unsuitable Investments, Including REITs
:
Updated:
Customer Alleges Broker Misconduct Against Jeanpierre Ayala Of Laidlaw & Company
:
Updated:
Suspended Broker Stephen Carver, Previously Of Cetera Advisors LLC, Facing $9.3 Million Claim Of Elder Abuse
:
Updated:
Linda Zara Of Summit Brokerage Services Suspended And Fined For Entering Into Improper Loan Arrangement With An Elderly Client
:
Updated:
Did Your Financial Advisor Suggest You Invest In Perry Santillo’s $115.5M Ponzi Scheme?
:
Updated:
Law.com Covers Silver Law Group’s Lawsuit Against Phillip Timothy Howard
:
Updated:
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
:
Updated:
Dexter Thomas, Previously-Registered Broker With LPL In Dallas, Texas, Subject Of 29 Disclosures
:
Updated:
Bobby Coburn, Barred Broker Of Securities America, Subject Of 4 Disclosures
:
Updated:
Barred Broker Nicolas Barrios, Formerly With UBS, Subject Of 6 Disclosures
:
Updated:
Broker Mercer Hicks Subject Of FINRA Disciplinary Hearing Over REITS
:
Updated:
SEC Charges Against GPB Capital Likely On The Horizon
:
Updated:
Collectability May Be An Issue For GPB Class Action Plaintiffs – Broker-Dealers Still Liable
:
Updated:
Silver Law Group Files Claims for Unsuitable Sale of a Reg D Private Placement
:
Updated:
SEC Puts A Stop To Florida Ponzi Scheme That Targeted Seniors
:
Updated:
FINRA Bars Benjamin Lowder After Allegations Of Fraud And Deceptive Trade Practices
:
Updated:
Allegations of Unsuitable Recommendations Filed Against Broker Christopher Bice
:
Updated:
Silver Law Group Is Investigating WeWork On Behalf Of Investors
:
Updated:
Wells Fargo Broker Leonard Kinsman Accused Of Falsifying Records
:
Updated:
Raymond James Broker Maria Hendershott Accused Of Securities Violations In Texas
:
Updated:
FINRA Suspends Broker Gregory Ricker
:
Updated:
Peachcap Securities Broker David Miller Subject Of Seven Client Disputes
:
Updated:
Eight Customer Disputes Filed Against Broker Shimson Plotkin
:
Updated:
Broker Trevor Rahn Settles $500K Excess Trading Dispute
:
Updated:
Broker Antoine Souma Settles $14M Customer Dispute
:
Updated:
Allegations Of Excessive Trading Against Broker Debra Lambert
:
Updated:
Broker Andrew Krakauer Subject Of $390K Claim
:
Updated:
FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules
:
Updated:
Is GPB Capital A Ponzi Scheme?
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
Alberto Sanchez, Barred Broker Formerly With SagePoint Financial, Subject of 3 Disclosures
:
Updated:
Silver Law Group Files Arbitration Claims For Clients Of Flynn Wealth Management & James Flynn
:
Updated:
Silver Law Group Investigates Canopy Growth Corporation (CGC)
:
Updated:
Silver Law Group Files Another GPB Claim Against SagePoint Financial
:
Updated:
James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures
:
Updated:
Silver Law Group Files Investment Fraud Lawsuit Against Phillip Timothy Howard
:
Updated:
Scott Silver Presents At South Florida Interactive Marketers Association (SFIMA)
:
Updated:
Silver Law Group Investigates Lipocine Inc. (LPCN)
:
Updated:
GPB Capital’s Connection To The Church Of Scientology
:
Updated:
Scott Silver Presents At 2019 PIABA Meeting On Variable Annuity Fraud
:
Updated:
Silver Law Group Represents Investors In Greenville, South Carolina
:
Updated:
GPB Capital’s Chief Compliance Officer And Managing Director Indicted For Obstruction Of Justice
:
Updated:
SEC Investigating AIG Sales of High-Cost Retirement Investments
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information
:
Updated:
GPB Capital Now Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group’s Scott Silver Interviewed For New York Times Article On Ponzi Schemes
:
Updated:
Registered Investment Advisor McDermott Accused By SEC Of Defrauding Clients
:
Updated:
Silver Law Group Investigates Zynerba Pharmaceuticals (ZYNE)
:
Updated:
CFTC Issues Whistleblower Alert To Public About Becoming Eligible For Financial Awards
:
Updated:
Silver Law Group Continues To File FINRA Arbitration Claims Against Voya Financial Regarding James Flynn
:
Updated:
Gabriel Block, Barred Broker Formerly With First Standard Financial Company, Subject Of 17 Disclosures
:
Updated:
Marcus Boggs, Former Merrill Advisor, Being Sued By SEC Suing For Stealing From Clients
:
Updated:
Curaleaf Holdings, Inc. (CURLF), Cannabis Operator, Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group Investigates Sonim Technologies, Inc. (SONM) For Possible Securities Laws Violations
:
Updated:
Silver Law Group Files FINRA Arbitration Claim After Broker Borrows Client’s Funds And Doesn’t Repay
:
Updated:
Did You Buy GPB Capital From SagePoint Financial Inc.?
:
Updated:
Were You Overcharged For Short Selling Beyond Meat (BYND)?
:
Updated:
Silver Law Group Investigates Maxar Technologies Ltd (MAXR)
:
Updated:
SEC Whistleblower Awarded Over $1.8 Million In August 2019
:
Updated:
Were You Overcharged For Short Selling At Your Discount Brokerage?
:
Updated:
Canntrust (CTST) Subject Of A Class Action Lawsuit
:
Updated:
Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in July 2019 for Failing to Comply with FINRA Rules
:
Updated:
GPB Capital Investments Down Dramatically In Value
:
Updated:
GPB Capital Sued By Business Partner, Accused Of “Serious Financial Misconduct”
:
Updated:
Robert High II Barred After FBI Investigation For Misappropriation Of Funds
:
Updated:
James Schwartz Barred By FINRA After Churning Customer Accounts
:
Updated:
GPB Capital Securities Arbitration Claims Continue To Pile Up Against Brokerage Firms
:
Updated:
Oasmia Pharmaceutical AB (OASM) Being Investigated For Potential Violations Of Securities Laws
:
Updated:
Barry Garapedian, Morgan Stanley Advisor, Subject Of 14 Disclosures
:
Updated:
FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules
:
Updated:
In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules
:
Updated:
FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules
:
Updated:
GPB - Wall Street’s Highest Commission Product Just Became Retail Investors Biggest Nightmare
:
Updated:
SEC Publishes Fact Sheet For Identifying Senior Financial Exploitation
:
Updated:
Stockbrokers Cannot Inherit Customer Accounts
:
Updated:
FBI Investigates Edward Matthes After Allegations Of Stockbroker Theft
:
Updated:
SEC Shuts Down Argyle Coin Ponzi Scheme
:
Updated:
Stockbrokers Are Prohibited From Inheriting Money From Clients
:
Updated:
Conagra Brands (CAG) Is Being Sued For Allegedly Misleading Shareholders
:
Updated:
Pyxus International, Inc. (PYX) Subject Of A Class Action Lawsuit
:
Updated:
Ascena Retail Group, Inc. (ASNA) Subject Of A Class Action Lawsuit
:
Updated:
Hecla Mining Company (HL) Subject Of A Class Action Lawsuit
:
Updated:
CBL & Associates Properties, Inc. (CBL) Subject Of A Class Action Lawsuit
:
Updated:
RCI Hospitality Holdings (RICK) The Subject Of A Class Action Lawsuit
:
Updated:
Nabriva Therapeutics (NBRV) Subject Of A Class Action Lawsuit
:
Updated:
Momo, Inc. (MOMO) Subject Of A Class Action Lawsuit
:
Updated:
Intersect ENT, Inc. (XENT) Subject Of A Class Action Lawsuit
:
Updated:
Dynagas LNG Partners LP (DLNG) Subject Of A Class Action Lawsuit
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Centaurus Related To Brokers Cindy Chiellini And Ricky Mantei
:
Updated:
Silver Law Group Files Another FINRA Arbitration Claim Against Voya Financial Advisors Related To James Flynn
:
Updated:
GPB Capital Discloses It’s Two Biggest Funds Have Declined Significantly In Value
:
Updated:
Herbert Hafen Barred After Misappropriating Client Funds
:
Updated:
FINRA Bars Christopher Hellman
:
Updated:
FINRA Bars Broker Adam Lopez After Investigations Into Misconduct
:
Updated:
Dudley Stevens Barred By FINRA After Third-Party Wire Allegations
:
Updated:
FINRA Bars John Spach After Various Misconduct Allegations
:
Updated:
SEC, FINRA Bar William Gennity, Issue $2M Judgment For Client
:
Updated:
Yassin Mohamed And National Securities Corp.
:
Updated:
David Fagenson Suspended In FINRA Investigation For Unsuitable Trading
:
Updated:
FINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules
:
Updated:
FINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules
:
Updated:
Broker Jackie Wadsworth Subject Of Disclosures, Including REIT UDF IV
:
Updated:
Silver Law Group Files Another Arbitration Claim Against Voya Financial Advisors Regarding James Flynn
:
Updated:
FINRA Bars Broker Kristian Gaudet For Personal Use Of Client Funds
:
Updated:
FINRA Bars Broker Scott Donato
:
Updated:
37,000 Victims Still Paying 6.3 Million Monthly For Limited Health Insurance With Simple Health Plans
:
Updated:
The Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group Helps Investors Recover For Stockbroker Misconduct Through FINRA Arbitration
:
Updated:
Wellington, Florida-Based Winfield Capital Partners, LP And Its Principals Under Investigation
:
Updated:
Suspended Newbridge Securities Corp. Broker David Fagenson Under Investigation for Unsuitable Recommendations in Elderly Customer Accounts
:
Updated:
David Marshall, Former California-Based Independent Financial Group Broker, Under Investigation
:
Updated:
What Does A Financial Advisor’s Senior Designation Mean?
:
Updated:
Massachusetts Charges Former Advisor with Stealing from Retiree
:
Updated:
SEC Halts Wellington, Florida Investment Scheme
:
Updated:
FINRA Arbitration Panel Ordered Morgan Stanley To Pay Former NFL Cornerback And Mega Millions Lottery Winner $4.2 Million For Alleged Negligent Supervision
:
Updated:
Former Morgan Stanley Broker Claims FINRA Suit Reflects Industry’s Overall Discrimination Against Women
:
Updated:
Did You Invest In Amarin Corporation plc (AMRN)?
:
Updated:
FINRA’s Unpaid Arbitration Awards Problem
:
Updated:
FINRA Suspends Christopher Bennet After Unauthorized Trading
:
Updated:
FINRA Suspends Broker Gabriel Block, Permanent Bar Pending
:
Updated:
FINRA Bars Marcus Boggs After $5.6M In Unauthorized Funds Transfers
:
Updated:
FINRA Suspends Danard (Dan) Brown After Arbitration Judgment
:
Updated:
Unpaid Awards: FINRA Publishes List Of Arbitration Awards In Arrears Along With Names
:
Updated:
American Realty Capital REIT Now Known As New York City REIT
:
Updated:
Richard Pittman, Cetera Advisors, Customer Disputes Total $1M
:
Updated:
FINRA Arbitration Next For Wells Fargo And Two Advisors
:
Updated:
Recent Cases For Robert Child Settled For Total Of $2.5M
:
Updated:
FINRA Bars Robert Lee Basile For Elder Financial Abuse
:
Updated:
Cetera Fined $1.4M For Churning Broker
:
Updated:
Update On Bradley Tennison And The Joseph Project
:
Updated:
SEC Now Investigating Former Broker John Greg Schmidt For Misappropriation Of $1.16M
:
Updated:
FINRA Finds Compliance To Be Lax Around Illiquid Securities
:
Updated:
Stifel, Niclaus, and Francis Weller Censured After Excess Client Fees
:
Updated:
SEC Sues Direct Lending Investments For Inflated Charges And Returns
:
Updated:
FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office
:
Updated:
FINRA Suspends John-Aaron Lenhert After Loans From Firm Clients
:
Updated:
Broker Chris Kubiak Arrested, Charged With Felony Theft By Fraud
:
Updated:
Allegis Discharges Brandon Stimpson For Ignoring Firm Policies, Code Of Ethics
:
Updated:
Broker Steven Woods Subject Of Two Disputes Worth Nearly $200K
:
Updated:
Robert Witt Barred By FINRA
:
Updated:
FINRA Bars Richard Minichino
:
Updated:
Devin McCabe Accused Of Churning And Trading Allegations
:
Updated:
FINRA Bars Omar K. Henry
:
Updated:
Broker Sierra Alexandria CrockerBarred By FINRA After Fraud Arrest
:
Updated:
Jonathan Ebel Subject Of Three Disclosures On His BrokerCheck Report
:
Updated:
FINRA Ends Bar On Broker Francisco Valenzuela
:
Updated:
Dr. Philip Frost Offers SEC Settlement In Florida Microcap Stock Scheme
:
Updated:
Health Insurance Innovations (HIIQ) Ends Relationship With Simple Health Plans
:
Updated:
Health Insurance Innovations, Inc. (HIIQ) Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group Files First Arbitration Claim Against SagePoint Financial Relating To GPB Capital
:
Updated:
What Is The UBS Yield Enhancement Strategy (YES)?
:
Updated:
Silver Law Group Investigating Village Farms International, Inc. (VFF) For Potential Securities Laws Violations
:
Updated:
Apyx Medical Corporation (APYX) The Subject Of A Class Action Lawsuit
:
Updated:
Silver Law Group Investigates Level Brands, Inc. (LEVB) For Potential Securities Fraud
:
Updated:
Federal Securities Class Action Lawsuit Filed Against Fusion Connect, Inc. (FSNN)
:
Updated:
AAC Holdings, Inc. (AAC) Being Investigated By Silver Law Group
:
Updated:
Richard Wesselt Subject Of Five Customer Disputes Totaling $2M
:
Updated:
FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules
:
Updated:
In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules
:
Updated:
KushCo Holdings Inc. (KSHB) To Restate Financial Statements
:
Updated:
MacKenzie Realty Launches Tender Offer To Purchase Phillips Edison
:
Updated:
Scott Silver Speaks To AutoNews.com About GPB’s Legal Troubles
:
Updated:
The Parking REIT Subject Of A Class Action Lawsuit
:
Updated:
Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in March 2019 for Violations of FINRA Rules
:
Updated:
FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules
:
Updated:
FINRA Fines H. Beck $400,000 For Failing To Enforce Procedures
:
Updated:
FINRA Suspends Registered Individuals in February 2019 for Violations of FINRA Rules
:
Updated:
In February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules
:
Updated:
Were You Overcharged Mutual Fund Fees By Fidelity?
:
Updated:
Christopher Bice Of SagePoint Financial Subject Of 5 Disclosures For $1.75 Million
:
Updated:
Did You Purchase GPB From William Crafa Of Royal Financial Associates?
:
Updated:
Financial Advisor’s Due Diligence On GPB Capital Holdings
:
Updated:
Silver Law Group Investigating Brokerage Firms that Sold GPB Capital Private Placements
:
Updated:
FBI Now Investigating GPB Capital Holdings
:
Updated:
Massachusetts Questions Fidelity’s Fees
:
Updated:
Laidlaw & Company FINRA Complaint
:
Updated:
Did You Invest With NEXT Financial Group?
:
Updated:
Salt Lake City Precious Metals Dealer Engaged in $170M Ponzi Scheme
:
Updated:
Wintercap SA International Fraud Scheme That Allegedly Generated More Than $165 Million of Illegal Sales
:
Updated:
New York Securities Boiler Room Scheme Targeting Seniors
:
Updated:
Ex-lawmaker Convicted of Stealing $3 million From Widows
:
Updated:
Did You Lose Money With Atlanta, Georgia Stockbroker Sean Kelly?
:
Updated:
Why Does Wall Street Oppose a Fiduciary Duty?
:
Updated:
NAIFA Files Anti-Investor Lawsuit Against New York State
:
Updated:
New York City Broker Accused of Churning
:
Updated:
Miami CEO Arrested on Commodities Fraud Charges
:
Updated:
Boca Raton, Florida: Silver Law Group Securities Arbitration Attorneys Seeks to Aid Aggrieved Investors
:
Updated:
Orlando, Florida: Silver Law Group Securities Fraud Attorneys Seeks to Aid Aggrieved Investors
:
Updated:
Tampa, Florida: Silver Law Group Stockbroker Misconduct Lawyers Seeks to Aid Aggrieved Investors
:
Updated:
The Villages, Florida: Silver Law Group, Elder Financial Fraud Attorneys, Seeks to Aid Aggrieved Investors
:
Updated:
Paul Murans Settles $250K Customer Dispute, Fights Unsuitability Allegations
:
Updated:
Broker Erik Pica Subject Of Four Disclosures Totaling Over $900K
:
Updated:
Katherine Nishnic
:
Updated:
JPMorgan Hit With Class Action Over Spoofing Allegations
:
Updated:
New York’s Regulation 187 May Cause Problems For Insurance Agents, Brokers And Their Clients
:
Updated:
LPL Financial Fined $2.75M For AML And Complaint Failures
:
Updated:
FINRA and SEC Follow Massachusetts in GPB Capital Investigations
:
Updated:
Five Year Sentence For Former Morgan Stanley Broker James Polese
:
Updated:
Scott Kaup
:
Updated:
New Customer Disputes For Broker Cindy Chiellini Total $348K In Damages
:
Updated:
Two Customer Disputes Filed Against Wenjinn James Chang Worth $125K
:
Updated:
Broker John Cutshall Under Investigation By FINRA For Misappropriation
:
Updated:
FINRA Suspends Robert White For Accepting Cash Gifts From Customer
:
Updated:
Disgraced Broker Kyusun Kim Terminated By Sandlapper
:
Updated:
FINRA Bars Broker Mohamed Yassin
:
Updated:
FINRA Suspends Jeffrey Offen
:
Updated:
Justin Lopez Subject of Two Customer Disputes totaling over $5M
:
Updated:
FINRA Bars Broker Mitchell Kurtz For Violations Including Selling Away
:
Updated:
Rita Dulya Barred By FINRA After Criminal Charges Filed
:
Updated:
SEC Halts Trading On Petrotech Oil & Gas, Inc.
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Arete Wealth Management
:
Updated:
Did Your Stockbroker Sell You GPB Capital
:
Updated:
Broker Donna Hines Subject Of Four Disclosures
:
Updated:
FINRA Bars Phillip Johnson After Half-Million Dollar Customer Loans
:
Updated:
FINRA Bars LPL Broker Suhail Khan After $775K Dispute
:
Updated:
Charges Filed Against John Maccoll For $4M Ponzi Scheme On Elderly Investors
:
Updated:
Peter Malis Client Awarded $1.1M Settlement After Churning Allegations
:
Updated:
Broker Bryon Martinsen Accused Of Misrepresentation By Client
:
Updated:
Broker Michael Morrissett Subject Of $2M Client Dispute
:
Updated:
Michael Nixon and Paulson Investment Company LLC
:
Updated:
Cristhian Palacios Accused of Excessive Trading
:
Updated:
FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules
:
Updated:
In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Walter Valenzuela Subject Of Two Multimillion-Dollar Customer Disputes
:
Updated:
FINRA Suspends Registered Individuals in January 2019 for Failing to Comply with FINRA Rules
:
Updated:
Michael Venturino Customer Disputes Total $1.6M
:
Updated:
Robin Wahby
:
Updated:
Transamerica’s $97M Refund
:
Updated:
Scott Silver Discusses $102 Million Ponzi Scheme (with video)
:
Updated:
Sebastian Wyczawski Subject To Two Disclosures Totaling $350K
:
Updated:
Broker Roy Failla Subject of $1.5M Dispute
:
Updated:
FINRA Suspends, Fines Broker Ian Greenblatt For Selling Away
:
Updated:
Christopher Hildebrandt Accused Of Misappropriation Of Funds
:
Updated:
Broker Stephen Williams Subject Of 7 Customer Disputes
:
Updated:
Sharing Customer Losses Leads To FINRA Suspension For Raymond Menna
:
Updated:
FINRA Suspends Broker Patrick Phillips After Allegedly Borrowing $70K From Client
:
Updated:
Florida Broker Mitchell Walk Subject Of Five Customer Disputes
:
Updated:
FINRA Suspends Broker Lloyd Johnston Over Information Request And Multiple Tax Liens
:
Updated:
FINRA Bars James Lyons After Unauthorized Trading Allegations And Employment Discharge
:
Updated:
FINRA Suspends Broker Bradley Pace
:
Updated:
More Customer Complaints Against Sean Brady, Claims Of $12.5M In Damages
:
Updated:
FINRA Bans Charles Bloom
:
Updated:
Client Accuses Broker Ralph Bianchi Of Recommending Unsuitable Puerto Rican Bonds
:
Updated:
FINRA Awards $1M To Client In Legend Securities Churning Arbitration Claim
:
Updated:
Broker Ralph Byer Of Merrill Lynch Has Seven Disclosures
:
Updated:
FINRA Bars Andrew Mandell After Section 5 Violation Allegation
:
Updated:
Ft. Lauderdale Elder Abuse Charges Against Roger Kroeger
:
Updated:
FINRA Bars Daniel Winger For Improper Use Of Customer Funds
:
Updated:
FINRA Suspends Broker David Unsworth Again, Fails To Notify Firm Of Personal Securities Sales
:
Updated:
Broker Dexter Thomas Dies Leaving $9.2M In Customer Claims
:
Updated:
Christopher Sinkula Subject Of Customer Disputes Totaling $3.7M
:
Updated:
Broker Peter Shusterman Subject Of Three Customer Disputes
:
Updated:
FINRA Suspends Broker Yousuf Saljooki
:
Updated:
American Finance Trust Tells Stockholders To Reject Latest McKenzie Offer
:
Updated:
Understanding Variable Annuity
:
Updated:
National Securities Corporation Stockbroker Ronald Rothchild
:
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:
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:
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
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SEC Charges Texas-Based Greenview In Cannabis Stock Fraud
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SEC’s Temporary Suspension of GrowLife (PHOT) Stocks
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SEC Suspends Pot Stock Advanced Cannabis Solutions/General Cannabis
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Lawyers Identify Red Flags of Securities Fraud
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Best Attorneys for Ponzi Scheme Victims
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Centaurus Financial Customer Disputes
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Scott Silver Teaches Securities Arbitration at University of Miami Law School
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In October 2018, Registered Individuals Suspended by FINRA for Failing to Comply with FINRA Rules
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October 2018 Disciplinary Actions Name Individuals Barred from FINRA for Violations of FINRA Rules
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FINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules
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Parking REIT Files For $100M IPO After Raising Substantial Funds From Retail Investors
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Silver Law Group Files Claim Against Portfolio Advisors Alliance Alleging Brokers Churned Account and Racked Up Over $500,000 in Commissions
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James Flynn, Former South Carolina-based IFS Securities and Voya Financial Advisors Broker, Under Investigation
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Silver Law Group Has Filed Another FINRA Arbitration Claim Against Wells Fargo After it Broker Recommended Unsuitable Investments to Elderly Client
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FINRA Bars Broker Kyusun Kim After Multiple Customer Complaints Of Unsuitability
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SEC Awards Two More Whistleblowers A Total of $54M
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CTFC Orders Restitution of $11.9M In Commodities Fraud
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SEC Charges Barry Honig In $27M South Florida Microcap Fraud
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SEC Charges Broker Jovannie Aquino
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SEC Charges Broker Emil Botvinnik With Excessive Trading, Churning
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Cybersecurity Breach Costs Voya Financial Advisors $1M In Fines
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Karl Foust Subject Of $1.1M In Customer Disputes With Wimbledon Health Partners Investments
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FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules
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September 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules
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FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018
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Investment Center Broker Accused of Stealing $300K from Elderly Client
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FINRA Bars Broker Taek Chong After Allegations of $2M Commission Overpayment
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FINRA Bars Broker William Downing, Allegations of $1M Excess Trading
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FINRA Issues a Suspension for Network 1 Financial Services Wills Henriquez
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FINRA Hands Satya Brata Shaw Six-Month Suspension and $10K Fine
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H.J. Sims Broker Laurence Green Accused Of Churning, Unsuitability
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National Securities Corporation: Frequent Customer Disputes with FINRA
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Broker Hector May Investigated For Possible Ponzi Scheme And Defrauding Clients of $3.4M
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James Edward Knee
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Former Broker Thomas Logue Subject Of Multiple Disclosures
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Broker Dana Davis Subject Of Customer Disputes, Excessive Trading
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Broker Patrick Maddren
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Securities Arbitration Lawyer v. a Non-Attorney Representative?
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Scott Silver Quoted In Investment News Article On Woodbridge SEC Charges
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Silver Law Group Featured In Investment News On 1st Global Capital Bankruptcy
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Former Boston, Massachusetts-based Morgan Stanley Brokers Under Investigation for Allegedly Stealing Almost Half a Million from Elderly Client
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Silver Law Group and Law Firm of David R. Chase File Case Against Independent Financial Group for Selling Away
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FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading
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FINRA Bars Former Raymond James Broker Stephen Murray After Allegations, Tax Lien
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Laidlaw Broker Paul Prestia Barred By FINRA After $160K In Tax Liens
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FINRA Bars Broker Meaghan Johnson After Allegations in Eight Customer Complaints Totaling $1.3M in Damages
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Some of National Securities Corporation’s FINRA-Reported Brokers
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FINRA Bans Broker Ramon Herrera
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FINRA Suspends IFS Broker James Flynn
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Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims
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Bradley Tennison Discharged and Barred By FINRA After Selling Away Allegations
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Senior Citizens in Florida Reportedly Scammed into Investing in Fake Fish Farm
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FINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules
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FINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules
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In August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules
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UBS Financial Advisor Walter Stucker
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Former Broker Frank Zito Discharged From Merrill Lynch
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Client Alleges Broker Robert Yasnis Churned Accounts
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Christopher Kane Subject of $871K Customer Dispute
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Former Broker Shaun Hayes Accused Of Unauthorized Trading
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Brokers Who Sold American Finance Trust Under Investigation; AFIN Begins Public Trading 40% Less than What Investors Initially Purchased it for
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The SEC Has Proposed New Regulations for Fiduciaries
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Broker Michael B. Barnett Allegedly Invests Client Funds in Speculative Securities
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Broker Robert Cleary Subject to Negligence Allegations
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FINRA Suspends Registered Individuals in July 2018 for Failure to Comply with FINRA Rules
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In July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules
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FINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules
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Multiple Complaints Against Former Broker Michael Fitz-Gerald
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Broker Shon Flaharty In $500K Dispute
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Securities Arbitration Claims Against National Securities Corp.
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Former Broker Ernest Romer Barred By FINRA After Two Investigations
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FINRA Gives Broker Jeffrey Fanning Suspension, Fines
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FINRA Suspends Walter Parker For Unsuitable Investments
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Broker Michael Rosalia Subject Of Multiple Judgments, Tax Liens
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Broker Stephen Sullivan Subject of 8 Disclosures
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Jason McBride
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Broker Howard Utz The Subject Of Two Investigations
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Broker Ray Reese Subject Of Five Customer Dispute Disclosures
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FINRA Bars Broker Scott Palmer
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FINRA Bars Broker John Maccoll After Fraud Allegations
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FINRA Bars Gregory LeVine For Failure To Respond
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Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation
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Charles Kenahan
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FINRA Suspends Broker Brian Hussey Following Allegations Of Unsuitable Recommendations
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Investment Fraud Attorneys for American Finance Trust, Inc. (AFIN) Losses
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Securities Arbitration Lawyers Investigate American Finance REIT After it Drops 40%
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1st Global Capital Bankruptcy Affects Investors in Knoxville, TN
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Silver Law Group Files a FINRA Arbitration Claim Against Centaurus Financial Concerning Unsuitable Recommendations by a Broker
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Silver Law Group Wins $1.5 Million Securities Arbitration Award for Unsuitable Private Placement
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Oscar Francis
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FINRA Bars Broker Sean Brady For Possible Improper Sales Practices
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FINRA Bars Former Broker William Brunner After Customer Complaints
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SEC Charges Texas Pastor and Former Louisiana Broker with Money Laundering and Wire Fraud
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Silver Law Group Investigates Perry Santillo Jr. of High Point Wealth Management
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Criminal Charges And Additional Complaints Against Former Broker Matthew Eckstein
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Broker Cindy Chiellini Subject Of Three Customer Disputes
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Bank Of America Sued Over Ponzi Scheme
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Donald Fowler Charged With Excessive Trading And Churning
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Worden Capital’s Broker Gregory Dean Charged With Churning
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Morgan Stanley Advisor Barry Garapedian
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Merrill Lynch Broker Anteneh Roberts Banned By FINRA After Misconduct Allegations
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Stockbrokers Selling Away Securities Arbitration Claims
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SEC Charges Former Broker Steven Pagartanis For – Banned by FINRA
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Silver Law Group is Investigating Thomas Murray of FSC Securities Corporation
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Silver Law Group is Investigating John Bryant of Wells Fargo Clearing Services, LLC
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Silver Law Group is Investigating Samuel Haddix of Ameriprise Financial Services, Inc.
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Silver Law Group is Investigating David Olson of Morgan Stanley
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Silver Law Group is Investigating Sanders Spangler of LPL Financial LLC
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Silver Law Group is Investigating Gary Basralian of Royal Alliance Associates, Inc.
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Silver Law Group is Investigating Lawrence Fawcett, Jr. of Westpark Capital, Inc.
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Silver Law Group is Investigating Joshua Ellis of LPL Financial LLC
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Silver Law Group is Investigating David Barber of Madison Avenue Securities
Securities Arbitration Lawyers Blog
