:
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:
Thomas Kelly Customer Disputes Now Total over $1.6M
:
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:
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:
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:
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:
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:
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 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:
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.
Securities Arbitration Lawyers Blog
