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Dustin Shafer, Former Money Concepts Broker, Alleged To Have Recommended GPB Capital
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George Schmidt, Jr, Former Lincoln Financial Advisors Broker, Barred By FINRA
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Scott Silver Interviewed For Time Article On Alleged Coronavirus Scam
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SEC Sues Raymond James Broker Frederick Stow For Allegedly Stealing Almost $1 Million From Seniors
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Jeffrey Dixson, Former Madison Avenue Securities Broker, Subject Of Customer Disputes For Sale Of GPB Capital
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Co-Diagnostics, Inc. (CODX) Subject Of Class Action Lawsuit For Alleged False Statements Related To COVID-19 Tests
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Masood Azad, Barred First Allied Securities Broker, Accused Of Selling Away
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David Melilli, Former SagePoint Broker, Accused Of Churning
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James Daughtry, Barred Kestra Investment Services Broker, Subject Of 2 Disclosures
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Did Your Stockbroker Churn Your Account?
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South Florida Legal Guide Names Silver Law Group A Top Securities Fraud Law Firm
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SagePoint Ordered By FINRA To Pay $1.6 Million For Alleged Unit Investment Trust (UIT) Violations
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FINRA Suspends Stockbrokers For Failing To Comply With Award Or Settlement May 2020
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FINRA Bars Stockbrokers For Failing To Provide Information May 2020
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FINRA Suspends Registered Individuals for Violations of FINRA Rules May 2020
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Steepener Note Investors Suffer Due To Low Or Inverted Interest Rate Environment
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Did Your Stockbroker Sell You Steepener Notes?
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Dennis Ayre, Beverly Hills, California Stockbroker, Subject Of 4 Customer Disputes
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UBS Broker Jose Cornide Subject Of 11 Customer Disputes For Yield Enhancement Strategy (YES)
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Purshe Kaplan Sterling Compliance Officer Warned Others About GPB Capital
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Bryon Martinsen Of Centaurus Financial Accused Of Recommending Unsuitable Investments Such As The Parking REIT
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Jaime Westenbarger, Barred Broker, Subject Of 10 Complaints
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Stockbrokers Should Not Borrow Money From Customers
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FINRA Securities Helpline For Seniors Grows In 2020
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Timothy Johnson Accused Of Diverting Client Funds
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Stephen Fry Barred By FINRA After $1.2M Funds Conversion
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Client Alleges Unsuitability In Alternative Investments From Broker Hugh Barndollar
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GPB Capital Misled Investors, Massachusetts Securities Regulators Say
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Four Disputes Filed Against Arkadios Relating To Kevin Rainwater
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FINRA Bars John Wyshak After Two Regulatory Actions
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Ryan Botner, Former MML Investors Services Broker, Barred For Allegations Of Forging Customer Signature
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Jeremy Rosen, Nationwide Planning Associates Broker, Accused Of Making Unsuitable Investments For Customers
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Broker Mark Cline Subject Of Multiple Customer Disputes Totaling $2.8M
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Shocking Tale Of Elder Financial Abuse By South Florida Stockbroker David Del Rio
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Ronald Hannes Permanently Barred From The Industry By FINRA
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FINRA Investigating Stockbroker, Pratul Agnihotri, For Conversion Of Customer Funds And FINRA Rule Violations
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John Krohn, Former Principal Securities Broker, Accused Of Selling Away
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FINRA Disciplinary Actions For February 2020 Names Registered Individuals Barred For Failure To Provide Information
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FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
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FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Provide Information
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2020
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FINRA Disciplinary Actions For January 2020 Names Registered Individuals Barred For Failure To Provide Information
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FINRA Disciplinary Actions For January 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
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Silver Law Group Files FINRA Arbitration Claim Based On Improper Sale Of Insurance Products
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FINRA Publishes Procedures For Holding Securities Arbitration Hearings Via Zoom
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TCA Global Credit Master Fund Has Sued Many Companies In Broward County, Florida
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The Parking REIT Offers Investors “No Assurance” Liquidity Event Will Occur At All
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Scott Silver Comments On SEC’s Mutual Fund Names Rule
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Silver Law Group Files Class Action Lawsuit Against TCA Global Credit Fund, Bob Press, Others
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Charles Dorraine Barred For Refusing To Testify About Puerto Rico Bonds
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules
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FINRA Disciplinary Actions For April 2020 Names Registered Individuals Barred For Failure To Provide Information
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FINRA Disciplinary Actions For April 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
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Stockbroker Theft Still Prevalent In 2020
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SEC Reveals Another Florida Marijuana Investment Fraud – “FirstCanna” Fraud
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Cetera Stops Sales Of REITs And Other Real-Estate-Based Funds Amid Pandemic
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YayYo IPO, Underwritten By Aegis Capital Corp., Plagued By Allegations Of Fraud
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Silver Law Group Investigating David Rockwell And Cetera Advisors, LLC
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Silver Law Group Files FINRA Arbitration Claim On Behalf Of A Customer Of David Krumrey Of Oppenheimer & Co., Inc.
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YieldStreet Being Investigated By Silver Law Group On Behalf Of Investors
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Did You Invest in the AllianceBernstein Securitized Asset LP?
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Silver Law Group Investigating AllianceBernstein Energy Opportunity Funds
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Silver Law Group Launches Coronavirus Task Force To Investigate Financial Wrongdoing, Including Nonpayment Of Business Interruption Insurance
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Silver Law Group Is Investigating Aytu BioSciences (AYTU)
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Kalos Capital Inc. Dealer Of GPB Capital And Wildermoth Endowment Strategy Fund (WESFX)
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UBS ETRACS ETNs Being Investigated By Silver Law Group On Behalf Of Investors
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Leveraged ETFs Are Closing, Causing Huge Losses For Investors
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FINRA Disciplinary Actions For March 2020 Names Registered Individuals Barred For Failure To Provide Information
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FINRA Disciplinary Actions For March 2020 Suspends Registered Individuals For Failure To Provide Information
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FINRA Disciplinary Actions For March 2020 Name Registered Individuals Suspended For Failure To Comply With FINRA Arbitration Award Or Settlement
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Silver Law Group Files FINRA Arbitration Claim Against Wells Fargo Regarding Broker’s Real Estate Advice
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Silver Law Group Is Investigating Beyond Meat, Inc. (BYND)
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Silver Law Group Is Investigating PNC Bank Regarding Involvement With Alleged Ponzi Scheme The Income Store
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EquiAlt LLC, FL Real Estate Company, Accused By SEC Of Operating Like A Ponzi Scheme
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Robert Perlman Subject Of Customer Dispute For Selling UBS YES Strategy
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Christopher Tolmacs, Barred Broker Formerly With Triad Advisors, Subject Of 18 Disclosures
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Eric Weschke And Kalos Capital Subject Of FINRA Arbitration Claim For Selling GPB Capital
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Silver Law Group Comments On Proposed FINRA Rule Limiting Brokers Becoming Customer’s Beneficiary
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Matthew Crafa, Royal Alliance Broker, Subject Of 2 Disclosures
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TCA Fund Management Group Liquidating Main Investment Fund Amid SEC Probe & Whistleblower Complaint
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Robert Montes, Barred Broker Formerly With Morgan Stanley, Subject Of 4 Disclosures
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Demos Argyros, Broker With Oppenheimer & Co., Subject Of 5 Disclosures
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Steven Reznic, Former Broker With Raymond James, Subject Of 24 Disclosures
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Richard Wesselt, Broker Formerly With O.N. Equity Sales Company, Subject Of 16 Disclosures
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SEC Gets Emergency Asset Freeze, Accuses The Income Store Of Being A “Ponzi-Like Scheme”
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FINRA Bars John Howley After Global Credit Recovery Scheme Losses of $5.8M
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Michael Carter Barred After Unauthorized Withdrawals Totaling $5.2M
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FINRA Bars Broker Stefan Pastor After Unauthorized Trading Allegations
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James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme
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Roger Owens, Previously Of Cetera Advisors, Suspended By FINRA For Unauthorized Sale Of Woodbridge Promissory Notes
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Ricky Mantei Of Centaurus Financial Facing Numerous Customer And Regulatory Disputes
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Robert Douglas Armstrong Of Dawson James Securities, Inc.
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Customer Disputes Continue to Pile Up Against Katherine Greer Nishnic of Centaurus Financial, Inc. for Recommendations of Unsuitable Investments, Including REITs
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Customer Alleges Broker Misconduct Against Jeanpierre Ayala Of Laidlaw & Company
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Suspended Broker Stephen Carver, Previously Of Cetera Advisors LLC, Facing $9.3 Million Claim Of Elder Abuse
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Linda Zara Of Summit Brokerage Services Suspended And Fined For Entering Into Improper Loan Arrangement With An Elderly Client
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Did Your Financial Advisor Suggest You Invest In Perry Santillo’s $115.5M Ponzi Scheme?
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Law.com Covers Silver Law Group’s Lawsuit Against Phillip Timothy Howard
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Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
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Dexter Thomas, Previously-Registered Broker With LPL In Dallas, Texas, Subject Of 29 Disclosures
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Bobby Coburn, Barred Broker Of Securities America, Subject Of 4 Disclosures
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Barred Broker Nicolas Barrios, Formerly With UBS, Subject Of 6 Disclosures
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Broker Mercer Hicks Subject Of FINRA Disciplinary Hearing Over REITS
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SEC Charges Against GPB Capital Likely On The Horizon
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Collectability May Be An Issue For GPB Class Action Plaintiffs – Broker-Dealers Still Liable
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Silver Law Group Files Claims for Unsuitable Sale of a Reg D Private Placement
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SEC Puts A Stop To Florida Ponzi Scheme That Targeted Seniors
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FINRA Bars Benjamin Lowder After Allegations Of Fraud And Deceptive Trade Practices
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Allegations of Unsuitable Recommendations Filed Against Broker Christopher Bice
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Silver Law Group Is Investigating WeWork On Behalf Of Investors
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Wells Fargo Broker Leonard Kinsman Accused Of Falsifying Records
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Raymond James Broker Maria Hendershott Accused Of Securities Violations In Texas
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FINRA Suspends Broker Gregory Ricker
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Peachcap Securities Broker David Miller Subject Of Seven Client Disputes
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Eight Customer Disputes Filed Against Broker Shimson Plotkin
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Broker Trevor Rahn Settles $500K Excess Trading Dispute
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Broker Antoine Souma Settles $14M Customer Dispute
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Allegations Of Excessive Trading Against Broker Debra Lambert
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Broker Andrew Krakauer Subject Of $390K Claim
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FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
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FINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules
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Is GPB Capital A Ponzi Scheme?
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FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
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FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
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FINRA Disciplinary Actions For November 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
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FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
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FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
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FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
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Alberto Sanchez, Barred Broker Formerly With SagePoint Financial, Subject of 3 Disclosures
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Silver Law Group Files Arbitration Claims For Clients Of Flynn Wealth Management & James Flynn
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Silver Law Group Investigates Canopy Growth Corporation (CGC)
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Silver Law Group Files Another GPB Claim Against SagePoint Financial
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James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures
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Silver Law Group Files Investment Fraud Lawsuit Against Phillip Timothy Howard
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Scott Silver Presents At South Florida Interactive Marketers Association (SFIMA)
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Silver Law Group Investigates Lipocine Inc. (LPCN)
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GPB Capital’s Connection To The Church Of Scientology
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Scott Silver Presents At 2019 PIABA Meeting On Variable Annuity Fraud
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Silver Law Group Represents Investors In Greenville, South Carolina
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GPB Capital’s Chief Compliance Officer And Managing Director Indicted For Obstruction Of Justice
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SEC Investigating AIG Sales of High-Cost Retirement Investments
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FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
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FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement
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FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information
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GPB Capital Now Subject Of Class Action Lawsuit
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Silver Law Group’s Scott Silver Interviewed For New York Times Article On Ponzi Schemes
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Registered Investment Advisor McDermott Accused By SEC Of Defrauding Clients
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Silver Law Group Investigates Zynerba Pharmaceuticals (ZYNE)
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CFTC Issues Whistleblower Alert To Public About Becoming Eligible For Financial Awards
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Silver Law Group Continues To File FINRA Arbitration Claims Against Voya Financial Regarding James Flynn
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Gabriel Block, Barred Broker Formerly With First Standard Financial Company, Subject Of 17 Disclosures
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Marcus Boggs, Former Merrill Advisor, Being Sued By SEC Suing For Stealing From Clients
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Curaleaf Holdings, Inc. (CURLF), Cannabis Operator, Subject Of Class Action Lawsuit
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Silver Law Group Investigates Sonim Technologies, Inc. (SONM) For Possible Securities Laws Violations
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Silver Law Group Files FINRA Arbitration Claim After Broker Borrows Client’s Funds And Doesn’t Repay
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Did You Buy GPB Capital From SagePoint Financial Inc.?
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Were You Overcharged For Short Selling Beyond Meat (BYND)?
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Silver Law Group Investigates Maxar Technologies Ltd (MAXR)
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SEC Whistleblower Awarded Over $1.8 Million In August 2019
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Were You Overcharged For Short Selling At Your Discount Brokerage?
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Canntrust (CTST) Subject Of A Class Action Lawsuit
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Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules
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FINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules
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FINRA Names Individuals Suspended in July 2019 for Failing to Comply with FINRA Rules
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GPB Capital Investments Down Dramatically In Value
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GPB Capital Sued By Business Partner, Accused Of “Serious Financial Misconduct”
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Robert High II Barred After FBI Investigation For Misappropriation Of Funds
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James Schwartz Barred By FINRA After Churning Customer Accounts
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GPB Capital Securities Arbitration Claims Continue To Pile Up Against Brokerage Firms
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Oasmia Pharmaceutical AB (OASM) Being Investigated For Potential Violations Of Securities Laws
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Barry Garapedian, Morgan Stanley Advisor, Subject Of 14 Disclosures
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FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules
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In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules
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FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules
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GPB - Wall Street’s Highest Commission Product Just Became Retail Investors Biggest Nightmare
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SEC Publishes Fact Sheet For Identifying Senior Financial Exploitation
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Stockbrokers Cannot Inherit Customer Accounts
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FBI Investigates Edward Matthes After Allegations Of Stockbroker Theft
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SEC Shuts Down Argyle Coin Ponzi Scheme
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Stockbrokers Are Prohibited From Inheriting Money From Clients
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Conagra Brands (CAG) Is Being Sued For Allegedly Misleading Shareholders
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Pyxus International, Inc. (PYX) Subject Of A Class Action Lawsuit
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Updated:
Ascena Retail Group, Inc. (ASNA) Subject Of A Class Action Lawsuit
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Hecla Mining Company (HL) Subject Of A Class Action Lawsuit
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CBL & Associates Properties, Inc. (CBL) Subject Of A Class Action Lawsuit
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RCI Hospitality Holdings (RICK) The Subject Of A Class Action Lawsuit
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Nabriva Therapeutics (NBRV) Subject Of A Class Action Lawsuit
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Momo, Inc. (MOMO) Subject Of A Class Action Lawsuit
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Intersect ENT, Inc. (XENT) Subject Of A Class Action Lawsuit
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Dynagas LNG Partners LP (DLNG) Subject Of A Class Action Lawsuit
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Silver Law Group Files FINRA Arbitration Claim Against Centaurus Related To Brokers Cindy Chiellini And Ricky Mantei
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Silver Law Group Files Another FINRA Arbitration Claim Against Voya Financial Advisors Related To James Flynn
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GPB Capital Discloses It’s Two Biggest Funds Have Declined Significantly In Value
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Herbert Hafen Barred After Misappropriating Client Funds
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FINRA Bars Christopher Hellman
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FINRA Bars Broker Adam Lopez After Investigations Into Misconduct
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Dudley Stevens Barred By FINRA After Third-Party Wire Allegations
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FINRA Bars John Spach After Various Misconduct Allegations
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SEC, FINRA Bar William Gennity, Issue $2M Judgment For Client
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Yassin Mohamed And National Securities Corp.
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David Fagenson Suspended In FINRA Investigation For Unsuitable Trading
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FINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules
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FINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
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FINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules
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Broker Jackie Wadsworth Subject Of Disclosures, Including REIT UDF IV
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Silver Law Group Files Another Arbitration Claim Against Voya Financial Advisors Regarding James Flynn
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FINRA Bars Broker Kristian Gaudet For Personal Use Of Client Funds
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FINRA Bars Broker Scott Donato
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37,000 Victims Still Paying 6.3 Million Monthly For Limited Health Insurance With Simple Health Plans
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The Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group Helps Investors Recover For Stockbroker Misconduct Through FINRA Arbitration
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Wellington, Florida-Based Winfield Capital Partners, LP And Its Principals Under Investigation
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Suspended Newbridge Securities Corp. Broker David Fagenson Under Investigation for Unsuitable Recommendations in Elderly Customer Accounts
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David Marshall, Former California-Based Independent Financial Group Broker, Under Investigation
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What Does A Financial Advisor’s Senior Designation Mean?
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Massachusetts Charges Former Advisor with Stealing from Retiree
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SEC Halts Wellington, Florida Investment Scheme
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FINRA Arbitration Panel Ordered Morgan Stanley To Pay Former NFL Cornerback And Mega Millions Lottery Winner $4.2 Million For Alleged Negligent Supervision
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Former Morgan Stanley Broker Claims FINRA Suit Reflects Industry’s Overall Discrimination Against Women
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Did You Invest In Amarin Corporation plc (AMRN)?
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FINRA’s Unpaid Arbitration Awards Problem
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FINRA Suspends Christopher Bennet After Unauthorized Trading
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FINRA Suspends Broker Gabriel Block, Permanent Bar Pending
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FINRA Bars Marcus Boggs After $5.6M In Unauthorized Funds Transfers
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FINRA Suspends Danard (Dan) Brown After Arbitration Judgment
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Unpaid Awards: FINRA Publishes List Of Arbitration Awards In Arrears Along With Names
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American Realty Capital REIT Now Known As New York City REIT
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Richard Pittman, Cetera Advisors, Customer Disputes Total $1M
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FINRA Arbitration Next For Wells Fargo And Two Advisors
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Recent Cases For Robert Child Settled For Total Of $2.5M
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FINRA Bars Robert Lee Basile For Elder Financial Abuse
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Cetera Fined $1.4M For Churning Broker
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Update On Bradley Tennison And The Joseph Project
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SEC Now Investigating Former Broker John Greg Schmidt For Misappropriation Of $1.16M
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FINRA Finds Compliance To Be Lax Around Illiquid Securities
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Stifel, Niclaus, and Francis Weller Censured After Excess Client Fees
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SEC Sues Direct Lending Investments For Inflated Charges And Returns
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FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office
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FINRA Suspends John-Aaron Lenhert After Loans From Firm Clients
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Broker Chris Kubiak Arrested, Charged With Felony Theft By Fraud
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Updated:
Allegis Discharges Brandon Stimpson For Ignoring Firm Policies, Code Of Ethics
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Robert Witt Barred By FINRA
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FINRA Bars Richard Minichino
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Devin McCabe Accused Of Churning And Trading Allegations
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FINRA Bars Omar K. Henry
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Broker Sierra Alexandria CrockerBarred By FINRA After Fraud Arrest
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Jonathan Ebel Subject Of Three Disclosures On His BrokerCheck Report
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Updated:
FINRA Ends Bar On Broker Francisco Valenzuela
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Dr. Philip Frost Offers SEC Settlement In Florida Microcap Stock Scheme
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Updated:
Health Insurance Innovations (HIIQ) Ends Relationship With Simple Health Plans
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Updated:
Health Insurance Innovations, Inc. (HIIQ) Subject Of Class Action Lawsuit
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Silver Law Group Files First Arbitration Claim Against SagePoint Financial Relating To GPB Capital
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Updated:
What Is The UBS Yield Enhancement Strategy (YES)?
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Updated:
Silver Law Group Investigating Village Farms International, Inc. (VFF) For Potential Securities Laws Violations
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Apyx Medical Corporation (APYX) The Subject Of A Class Action Lawsuit
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Updated:
Silver Law Group Investigates Level Brands, Inc. (LEVB) For Potential Securities Fraud
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Updated:
Federal Securities Class Action Lawsuit Filed Against Fusion Connect, Inc. (FSNN)
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AAC Holdings, Inc. (AAC) Being Investigated By Silver Law Group
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Richard Wesselt Subject Of Five Customer Disputes Totaling $2M
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Updated:
FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules
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In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules
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FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules
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Updated:
KushCo Holdings Inc. (KSHB) To Restate Financial Statements
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Updated:
MacKenzie Realty Launches Tender Offer To Purchase Phillips Edison
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Updated:
Scott Silver Speaks To AutoNews.com About GPB’s Legal Troubles
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Updated:
The Parking REIT Subject Of A Class Action Lawsuit
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Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules
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FINRA Suspends Registered Individuals in March 2019 for Violations of FINRA Rules
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FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules
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Updated:
FINRA Fines H. Beck $400,000 For Failing To Enforce Procedures
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FINRA Suspends Registered Individuals in February 2019 for Violations of FINRA Rules
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In February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules
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FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules
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Updated:
Were You Overcharged Mutual Fund Fees By Fidelity?
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Updated:
Christopher Bice Of SagePoint Financial Subject Of 5 Disclosures For $1.75 Million
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Updated:
Did You Purchase GPB From William Crafa Of Royal Financial Associates?
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Financial Advisor’s Due Diligence On GPB Capital Holdings
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Silver Law Group Investigating Brokerage Firms that Sold GPB Capital Private Placements
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FBI Now Investigating GPB Capital Holdings
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Updated:
Massachusetts Questions Fidelity’s Fees
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Updated:
Laidlaw & Company FINRA Complaint
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Did You Invest With NEXT Financial Group?
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Salt Lake City Precious Metals Dealer Engaged in $170M Ponzi Scheme
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Wintercap SA International Fraud Scheme That Allegedly Generated More Than $165 Million of Illegal Sales
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Updated:
New York Securities Boiler Room Scheme Targeting Seniors
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Ex-lawmaker Convicted of Stealing $3 million From Widows
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Did You Lose Money With Atlanta, Georgia Stockbroker Sean Kelly?
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Why Does Wall Street Oppose a Fiduciary Duty?
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NAIFA Files Anti-Investor Lawsuit Against New York State
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New York City Broker Accused of Churning
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Miami CEO Arrested on Commodities Fraud Charges
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Boca Raton, Florida: Silver Law Group Securities Arbitration Attorneys Seeks to Aid Aggrieved Investors
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Orlando, Florida: Silver Law Group Securities Fraud Attorneys Seeks to Aid Aggrieved Investors
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Tampa, Florida: Silver Law Group Stockbroker Misconduct Lawyers Seeks to Aid Aggrieved Investors
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The Villages, Florida: Silver Law Group, Elder Financial Fraud Attorneys, Seeks to Aid Aggrieved Investors
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Paul Murans Settles $250K Customer Dispute, Fights Unsuitability Allegations
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Broker Erik Pica Subject Of Four Disclosures Totaling Over $900K
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Katherine Nishnic
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JPMorgan Hit With Class Action Over Spoofing Allegations
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Updated:
New York’s Regulation 187 May Cause Problems For Insurance Agents, Brokers And Their Clients
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LPL Financial Fined $2.75M For AML And Complaint Failures
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Updated:
FINRA and SEC Follow Massachusetts in GPB Capital Investigations
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Updated:
Five Year Sentence For Former Morgan Stanley Broker James Polese
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Scott Kaup
:
Updated:
New Customer Disputes For Broker Cindy Chiellini Total $348K In Damages
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Two Customer Disputes Filed Against Wenjinn James Chang Worth $125K
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Updated:
Broker John Cutshall Under Investigation By FINRA For Misappropriation
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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:
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:
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:
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
:
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:
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:
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
Securities Arbitration Lawyers Blog
