A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in FINRA Disciplinary Actions

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According to FINRA Disciplinary actions for December 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Maricela Alvarez   JP Morgan Securities LLC
  Rushton Leigh Ardrey III   Newport Coast Securities, Inc.
  White, Weld & Co. Securities, LLC
  Terry Stephen Carraher   Allstate Financial Services, LLC
  Scott Thomas Cross   MML Investors Services, LLC
  Raymond James & Associates, Inc.
  Christopher Jeffrey Daniel   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Charles Schwab & Co., Inc.
  Nancy Elaine De Leeuw  
  Paul Edward Dorion   LPL Financial LLC
  Nathan & Lewis Securities, Inc.
  John Ezmat   AXA Advisors, LLC
  Noel Fleming   Revere Securities LLC
  Jesup & Lamont Securities Corp
  Salvatore Gioe   Chelsea Financial Services
  Avenir Financial Group
  Stephen Duncan Grant   Security Research Associates, Inc.
  Legend Merchant Group , Inc.
  James Walter Ignatowich   Newbridge Securities Corporation
  Investors Capital Corp
  EvaJean Marie Jackson   Equinox Securities, Inc.
  Dana Liesl McMillin   Jackson National Life Distributors LLC
  Myrna Margarita Perez   Morgan Stanley
  Robin Thomas Pledger   State Farm VP Management Corp
  Robinson Rodriguez   J.P. Morgan Securities LLC
  Michael Alan Siegel

 

   National Securities Corporation
  Concorde Investment Services, LLC
  Stewart Field Smith   Center Street Securities, Inc.
  Questar Capital Corporation
  Donald Shelby Toomer   Wells Fargo Advisors Financial Network, LLC
  RBC Dain Rauscher Inc.
  Frank Rowlin Underhill Jr.   Underhill Securities Corp.
  DRF Business and Financial Services, LLC
  Travis Michael Vandermale   Farmers Financial Solutions, LLC
  Cheryl Lynn Wallace   Ameriprise Financial Services, Inc.
  Edward Jones
  Cinday Ah Ran Yi  
  Julie Marie Ziolkowski   Fidelity Brokerage Services LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for Nov 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Juan C. Alejos   Spartan Capital Securities, LLC
  Charles Morgan Securities, Inc.
  Fontaine Boutwell   Allstate Financial Services, LLC
  Hornor, Townsend & Kent, Inc.
  Matthew Michael Cocco   Metlife Securities Inc.
  Perry De Leeuw   PFS Investments Inc.
  Primerica Financial Services
  Assan Faal   Stifel, Nicolaus & Company, Inc.
  Sterne, Agee & Leach, Inc.
  Judan Mae Flanagan   J.P. Morgan Securities, LLC
  Dean Scott Friedman   Syndicated Capital, Inc.
  Wedbush Morgan Securities Inc.
  Bryon Timothy Glime   Capital Investment Group, Inc.
  Suntrust Investment Services, Inc.
  Behnam Halali   Allstate Financial Services, LLC
  MML Investors Services LLC
  Garland Sean James   Garden State Securities, Inc.
  Global Arena Capital Corp.
  Kalid Morgan Jones   Joseph Gunnnar & Co. LLC
  National Securities Corporation
  Vicken Kassouny   J.P. Morgan Securities LLC
  NYLife Securities LLC
  Edward Hyunsoo Kim   Weild & Co.
  Prudential Securities Inc.
  Justin Anthony Krutsinger   PFS Investments Inc.
  Primerica Financial Services
  Tucker Robert Kunkel
  Kola Lulgjuraj   J.P. Morgan Securities LLC
  Rhonda Janeen Mattews   Prospera Financial Services, Inc.
  Wells Fargo Advisors Financial Network LLC
  Jared Howard Morgan   Suntrust Investment Services, Inc.
  NYLife Securities LLC
  Shaun Thomas Nagle   Comprehensive Asset Management and Servicing, Inc.
  Linsco/Private Ledger Corp.
  John Howard Pemberton   Ameriprise Financial Services, Inc.
  Securities America, Inc.
  Barbara E. Rein
  Barbara B. Rustici   Avenir Financial Group
  Rockwell Global Capital LLC
  Melba Reyes Talbot   Lifemark Securities Corp.
  Independent Financial Partments
  Jonathan Andrew Trotman   J.P. Morgan Securities LLC
  Daniel Benjamin Vasquez Sr.   Cetera Advisors LLC
  Investors Capital Corp.
  Martinnette Jeske Witrick   Kota Global Securities Inc.
  XP Securities, LLC
  Hannan Zafar
  Lance Jeffrey Ziesemer   Feltl & Company
  Wachovia Securities, LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for November 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Scott Patrick Alcus   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Richard Edward Bohack   Rockwell Global Capital LLC
  Global Arena Capital Corp.
  John Andrew Bredderman   Oppenheimer & Co. Inc.
  UBS Financial Services Inc.
  Jon Christian Coleman   Merrill Lynch, Pierce, Fenner & Smith, Inc.
  Edward Jones
  Jay Todd Eurich   Morgan Stanley Smith Barney
  Michael Dennis Hampton   LPL Financial LLC
  Ameriprise Financial Services, Inc.
  John Harold Lohmeier  
  Daniel Joseph Moniz   Revere Securities LLC
  Newport Coast Securities, Inc.
  Jay Steven Sutherland   Ameriprise Financial Services, Inc.
  Wells Fargo Advisors, LLC
  Thomas John Tedeschi   Joseph Stone Capital LLC
  Blackbook Capital LLC
  John Joseph Tillger, Jr.   CV Brokerage, Inc.
  Wharton Equity Corporation
  James Frederick Venditti   Infinex Investments, Inc.
  LPL Financial LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for November 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Debbie Sue Arnold   Farmers Financial Solutions, LLC
  Bridgett Elizabeth Beard
  Shawn Aaron Bedford   Edward Jones
  Jasper Eugene Boykin Jr.   MetLife Securities Inc.
  Quest Capital Strategies, Inc.
  Samuel David Campos   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Ladonna Carlisle
  Nichele Alexis Cavins
  Munaem Choudhury   Chelsea Financial Services
  Brookstone Securities, Inc.
  Shannon Kathleen Daniels   U.S. Bancorp Investments, Inc.
  Commerce Brokerage Services, Inc.
  Johnathan Roth Ellis   Pruco Securities, LLC
  Daniel Erlichman   KGS-Alpha Capital Markets, L.P.
  BNP Paribas Securities Corp.
  Michael Joseph Farinella   Allstate Financial Services, LLC
  Michael P. Gopie   AXA Advisors, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Ricky Reid Harris, Jr.   J.P. Morgan Securities LLC
  Erik Scott Jacobsen   Cambridge Investment Research, Inc.
  Wells Fargo Advisors, LLC
  Andrew Scott Jensen   Hornor, Townsend & Kent, Inc.
  AXA Advisors, LLC
  Tedla Ebou Khan   Goldman, Sachs & Co.
  Bilal Samouri McClendon   Equinox Securities, Inc.
  J.P. Turner & Company, LLC
  Sekou Mansur McClendon   Equinox Securities, Inc.
  Cape Securities Inc.
  Christopher Vincent Paul   Joseph Stone Capital LLC
  Aegis Capital Corp.
  Patrick Lee Perales   Wells Fargo Advisors, LLC
  Herndon Plant Oakley, Ltd.
  Bryan Dnaiel Quigley   MetLife Securities Inc.
  New England Securities
  Michael Quiles III   LPL Financial LLC
  MetLife Securities Inc.
   Jennifer Rainwater
  Kimberly Charisse Rice   Fidelity Brokerage Services LLC
  Theodore Gerald Rothman   First Allied Securities, Inc.
  Rothman Securities, Inc.
  Craig Clifford Ruschmeyer   Feltl & Company
  Wells Fargo Advisors, LLC
  Jon Brett Schmidhammer   Stifel, Nicolaus & Company, Inc.
  Merrill Lynch, Pierce, Fenner &Smith Inc
  David Garrett Shaw   Private Advisor Group, LLC
  LPL Financial LLC
  Gary Harland Sisler Jr.   Morgan Stanley Smith Barney
  Northwestern Mutual Investment Services, LLC
  Ladd W .Tanner   Trustmont Financial Group, INc.
  Gunnallen Financial, Inc.
  Dang Hung To   Wells Fargo Advisors, LLC
  Quyen Trong Tran   UnionBanc Investment Services, LLC
  Michael Vetere   Hornor, Townsend & Kent, Inc.
  NYLife Securities LLC
  Kuana Nicole Vick   First Citizens Investor Services, Inc.
  Larry Phillip Vogel   IFS Securities
  Ausdal Financial Partners, Inc.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for Oct 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Kamran Azim   The Huntington Investment Company
  Mohamed Baksh   PFS Investments Inc.
  Primerica Financial Services
  David F. Bouchard  
  Alina Brindusescu   US Bancorp Investments, Inc.
  HSBC Securities (USA) Inc.
  James Lee Carpenter   Sagepoint Financial, Inc.
  Next Financial Group, Inc.
  Donna Chen   Sunbelt Securities, Inc.
  Ameriprise Financial Services, Inc.
  Marcus Joseph Debaise   Wells Fargo Advisors, LLC
  Prudential Securities Inc
  Robert Philip DePalo   McBarron Capital LLC
  Arjent Ltd.
  Phillip David Donnan   AXA Advisors, LLC
  Kristen Mae Fitzhugh   PNC Investments
  AXA Advisors, LLC
  Yitzhok Alexander Fox   Ditto Trade, Inc.
  A.B Watley Direct, Inc.
  Yosef Yehuda Fox   Ditto Trade, Inc.
  Web Street Securities, Inc.
  Russell Lee Goldstein   Morgan Stanley
  Wells Fargo Advisors, LLC
  Israel Guzman   Unionbanc Investments Services, LLC
  JP Morgan Securities LLC
  Bingyi Hu   National Securities Corporation
  VFinance Investments, Inc.
  Philip Joseph Johnson   Wells Fargo Advisors, LLC
  David Richard Kerr III   A&F Financial Securities, Inc.
  Kenneth Joseph Kolquist   Cetera Advisor Networks LLC
  Securities America, Inc.
  Kestina Mantar   Goldman Sachs & Co.
  Pedro Juan Marrero Astacio IV   Wells Fargo Advisors, LLC
  JP Morgan Securities LLC
  Valon Mehmeti   JP Morgan Securities LLC
  Mercedes Molina  
  Robert Isaac Newell   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Edward Jones
  Christopher A. Parris   The Lucian Group
  Nationwide Securities Inc.
  Barbara Joann Peters   JP Morgan Securities LLC
  Mikhail M. Rasner   Northwestern Mutual Investment Services, LLC
  Rennie M.  Roach   PFS Investments Inc.
  Primerica Financial Services
  Warren Marc Rockmacher   Investacorp, Inc.
  Chase Investment Services Corp.
  Lance R. Shaw   International Assets Advisory, LLC
  LPL Financial LLC
  Michael Ronald Smith   UBS Financial Services Inc.
  Morgan Stanley Smith Barney
  James Tao   Sunbelt Securities, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Larry Steven Werbel   Concorde Investment Services, LLC
  Summit Brokerage Services, Inc.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for October 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Maricela Alvarez   JP Morgan Securities LLC
  Rushton Leigh Ardrey III   Newport Coast Securities, Inc.
  White, Weld & Co. Securities, LLC
  Michael Benjany   National Securities Corporation
  JP Morgan Securities LLC
  Kristen Denys Bartley   Morgan Stanley
  Touchstone Securities, Inc.
  Dawn Bennett   Western International Securities, Inc.
  Royal Alliance Associates, Inc.
  Terry Stephen Carraher   LSA Securities, Inc.
  Allstate Financial Services, LLC
  Christopher Jeffrey Daniel   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Charles Schwab & Co., Inc.
  Paul Edward Dorion   LPL Financial LLC
  Nathan & Lewis Securities, Inc.
  John Ezmat   AXA Advisors, LLC
  Noel Flemming   Revere Securities LLC
  Jesup & Lamont Securities Corp
  Yohandy Gonzalez   JP Morgan Securities LLC
  AXA Advisors, LLC
  Stephen Duncan Grant   Security Research Associates, Inc.
  Legend Merchant Group, Inc.
  James Walter Ignatowich   Newbridge Securities Corporation
  Investors Capital Corp.
  EvaJean Marie Jackson   Equinox Securities, Inc.
  Oded Joseph Jacobwitz   Securities America, Inc.
  JP Morgan Securities LLC
  Russell A. Kellock   Charles Schwab & Co., Inc.
  Dana Liesl McMillin   Jackson National Life Distributors LLC
  Christopher A. Parris   The Lucian Group
  Nationwide Securities, Inc.
  Myrna Margarita Perez   Morgan Stanley
  Lehman Brothers Inc.
  Raymond John Pirrello Jr.   Garden State Securities, Inc.
  The Concord Equity Group, LLC
  Robinson Rodriguez   JP Morgan Securities LLC
  David Aaron Seigerman   Janney Montgomery Scott LLC
  Morgan Stanley
  Michael Alan Siegel   National Securities Corporation
  Concorde Investment Services, LLC
  Stewart Field Smith   Center Street Securities, Inc.
  Questar Capital Corporation
  Frank Rowlin Underhill Jr.   Underhill Securities Corp.
  DRF Business and Financial Services, LLC
  William Upchurch Jr.   PFS Investments Inc.
  Primerica Financial Services
  Travis Michael Vandermale   Farmers Financial Solutions, LLC
  William Christopher Wade   Prudential Investment Management Services LLC
  USAA Financial Advisors, Inc.
  Cindy Ah Ran Yi  
  Julie Marie Ziolkowski   Fidelity Brokerage Services LLC

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for October 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  George William Carris   John Carris Investments LLC
  Brockington Securities, Inc.
  Michael Kevin Clark
  Jason Robert Diaz   Joseph Stone Capital LLC
  Garden State Securities, Inc.
  Gregory Flemming Jr.   Salomon Whitney Financial
  Rockwell Global Capital LLC
  Christopher John Gimblet   SWBC Investment Services, LLC
  Halen Capital
  David Alan Lavine   UBS Financial Services Inc.
  Morgan Stanley Smith Barney
  Derek Lee Miller   Securities America, Inc.
  Cambridge Investment Research, Inc.
  Steven Nelson
  Hector Perez   Rockwell Global Capital LLC
  Global Arena Capital Corp
  Naseem Mohammed Salamah   Ninepoint Advisors
  Morgan Stanley Smith Barney
  Wesley Wayne Shaw   Wells Fargo Advisors, LLC
  Edward Jones
  Lance E. Slater   Morgan Stanley Smith Barney
  UBS Financial Services Inc.
  Scott Paul Strochak   Morgan Stanley Smith Barney
  Merrill Lynch, Pierce, Fenner & Smith, Inc.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for July 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  David F. Bouchard  
  Alina Brindusescu   U.S. Bancorp Investments, Inc.
  HSBC Securities (USA) Inc.
  Francisco Javier Camacho   J.P. Morgan Securities LLC
  Christopher Michael Cervino   Primary Capital, LLC
  Cor Clearing LLC
  David Glenn Gott   Ausdal Financial Partners, Inc.
  Berthel, Fisher & Company Financial Services Inc.
  Israel Guzman   UnionBanc Investment Services, Inc.
  J.P. Morgan Securities LLC
  John Vernon Heath   Independent Financial Group, LLC
  QA3 Financial Corp.
  Steven Shane Horton   TD Ameritrade Clearing, Inc.
  Holly Hurley  
  Phillip Joseph Johnson   Wells Fargo Advisors, LLC
  Christos Angelo Kalatoudis   Worden Capital Management LLC
  National Securities Corporation
  David Richard Kerr III   A&F Financial Securities, Inc.
  Kenneth Joseph Kolquist   Cetera Advisor Networks LLC
  Securities America, Inc.
  Donald Lyons   Nativeone Institutional Trading, LLC
  Samuel Sylvanus McNinch IV   Kestra Investment Services, LLC
  Triad Advisors, Inc.
  Krista Viola Milligan   BBVA Securities Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Mercedes Molina  
  Kevin Michael Murphy   BMO Harris Financial Advisors, Inc.
  LPL Financial LLC
  Robert Isaac Newell   Merrill Lynch, Pierce, Fenner & Smith Inc
  Edward Jones
  Andrew Scott Oliveri   UBS Financial Services Inc.
  David Thomas Owen III   Invest Financial Corporation
  Questar Capital Corporation
  Kimberly Joyce Padgett   GWN Securities Inc.
  Lincoln Investment
  Alfonso Papa   Merrill Lynch, Pierce, Fenner & Smith Inc.
  HFP Capital Markets LLC
  Paul M. Pemberton   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Claudia Patricia Phillips-Thompson   State Farm VP Management Corp.
  Allstate Financial Services, LLC
  Paris Marquis Rembert   J.P. Morgan Securities LLC
  Dennis Kevin Smith   NativeOne Institutional Trading, LLC
  Raymond C. Forbes & Co. Inc.
  Barbara Jean Waters   Morgan Stanley
  Citigroup Global Markets Inc.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for July 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Robert Joseph Altemus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Citigroup Global Markets Inc.
  Michael Britt Doyle   Sanctuary Securities, LLC
  UBS Financial Services Inc.
  Richard Lee Ewalt   BB&T Investment Services Inc.
  Securities America, Inc.
  John Fairfield   Wells Fargo Advisors, LLC
  Chase Investment Services Corp.
  George John Gilbert   Allied Beacon Partners, Inc.
  Community Bankers Securities, LLC
  Brendan O’Connell   Merrill Lynch, Pierce, Fenner & Smith Inc.
  UBS Financial Services Inc.
  Warren Marc Rockmacher   Investacorp, Inc.
  Chase Investment Services Corp.
  Terry Gerard Roussel   Pacific Cornerstone Capital Incorporated
  Private Investors Equity Group
  Jonathan Michael Sheklow   Rockwell Global Capital LLC
  Global Arena Capital Corp

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for June 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:

NAME FORMER EMPLOYERS
  Barry Boyd Blount, Sr.   Insight Advisors, LLC
  Ameriprise Financial Services, Inc.
  Joseph Michael Carrino, Jr.   Brookstone Securities, Inc.
  National Securities Corporation
  Victor Rosario Cassone   J.P. Turner & Company, LLC
  Pacific West Securities, Inc.
  John F. Gannon   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc.
  Christopher Clarence Kennedy   Oppenheimer & Co. Inc.
  Liberty Tree Advisors, LLC
  William Francis Lex   Dinosaur Securities, LLC
  McGinn, Smith & Co., Inc.
  Lewis Joseph Lucarine   State Farm VP Management Corp
  Morgan Stanley Smith Barney
  Brian Joseph Merrigan   Wells Fargo Advisors, LLC
  BancWest Investment Services, Inc.
  Nicholas McCauley Messore   LPL Financail LLC
  Morgan Stanley
  James Marvin Mitchell   CBS Advisors LLC
  Community Bankers Securities, LLC
  David Harold Noe   GunnAllen Financial, Inc.
  Birchtree Financial Services, Inc.
  Edward Painter   UBS Financial Services Inc.
  Citigroup Global Markets Inc.
  Carrie Riley   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Morgan Stanley
  Joseph Richard Rizzo, Jr.   Ameriprise Financial Services, Inc.
  Securities America, Inc.
  David Aaron Seigerman   Janney Montgomery Scott LLC
  Morgan Stanley
  William Victor Siegel   Morgan Stanley
  Morgan Stanley & Co. Inc.
  Steven Craig Spitts   Wells Fargo Advisors, LLC
  Dean Witter Reynolds Inc.
  Jeff David Snyder   Network 1 Financial Securities Inc.
  Rockwell Global Capital LLC
  Carey Charles Stevens   Ridgeway & Conger, Inc.
  KCD Financial, Inc.
  Gary Lee Wright   Pensionmark Financial Group, LLC
  Robert W. Baird & Co. Inc.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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