Nico Sharp (Nico Raphael Sharp CRD#: 5988268) is a former registered broker and investment advisor whose last known employer was Citigroup Global Markets Inc. (CRD#:7059) of Tustin, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Mission Viejo, CA, TD Ameritrade, Inc. (CRD#:7870) of Beverly Hills, CA, PNC Investments (CRD#:129052) of Plainsboro, NJ. He has been in the industry since 2012. Continue reading ›
Felix Chu (Felix S Chu CRD# 2427593) is a barred broker last registered with NYLife Securities in Pleasant Hill, California. FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information.
Chu’s publicly-available FINRA BrokerCheck report shows that he has been registered with NYLife Securities his whole career, from 1994 until his barring in 2019. Continue reading ›
The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. Among other things, the FINRA arbitration process helps parties avoid the expenses and waiting periods associated with filing a case in state or federal court. FINRA also writes special rules and regulations specially tailored to these investment-related disputes. Continue reading ›
Investors in YayYo (YAYO), a ride-hailing vehicle supply company, were disappointed to find out that their shares, which originally sold for $4.00 per share, are now worth pennies. A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. Aegis Capital Corp., et al., alleges that this decimation of stock value was the result of fraud. Specifically, the suit accuses the IPO underwriters, including Aegis Capital Corp., of concealing that its founder/CEO/director, Ramy El-Batrawi, controlled the company despite El-Batrawi’s “checkered past with allegations of securities violations by the federal securities authorities,” according to the Complaint. Continue reading ›
Silver Law Group, a nationally-recognized class action law firm, is investigating Aytu BioSciences (AYTU) on behalf of shareholders in the company.
The investigation regards whether Aytu and its officers and directors have violated the federal securities laws.
Aytu BioSciences (AYTU) Announces License Agreement For COVID-19 Test Continue reading ›
In the past three years, Robert Douglas Armstrong (CRD# 5236735) (a/k/a R. Douglas Armstrong), a broker with Dawson James Securities, Inc. of Boca Raton, Florida, has settled five customer disputes and is currently facing two additional pending disputes. Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. Continue reading ›
Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Lipocine (LPCN), a publicly-traded specialty pharmaceutical company, on behalf of shareholders of the company’s stock.
The investigation concerns whether Lipocine gave misleading information to the public and violated federal securities laws. Continue reading ›
Silver Law Group is investigating Zynerba Pharmaceuticals (ZYNE), a publicly-traded company that is developing cannabinoid therapies for neuropsychiatric disorders, on behalf of investors in the company’s stock.
The investigation regards possible violations of federal securities laws by Zynerba officers and directors. Continue reading ›
Owners of Conagra Brands stock (CAG) are suing the packaged foods giant, alleging they were tricked into approving their nearly $11 billion acquisition of Pinnacle Foods.
Conagra Justifies Acquisition Of Pinnacle Foods
Conagra, which is a component of the S&P 500, announced that it would acquire Pinnacle Foods in June, 2018. CEO Sean Connolly publicly assured investors that Conagra had done its due diligence into Pinnacle, which owns brands such as Birds Eye and Duncan Hines, and said that the two companies were a natural fit for each other. Continue reading ›
Silver Law Group, a securities and investment fraud law firm, is letting investors know that a class action lawsuit has been filed against Amarin Corporation on behalf of investors who purchased shares between September 24, 2018 and November 8, 2018. The complaint alleges that Amarin made materially false and/or misleading statements and/or failed to disclose important information regarding its “REDUCE-IT” trial for their drug Vascepa, which treats heart disease.
The purpose of the class action lawsuit is to recover monetary damages for alleged violations of federal securities laws. Continue reading ›