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Articles Posted in Stockbroker Misconduct

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According to FINRA Disciplinary actions for October 2019, 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
  Clay, Nathaniel   Laidlaw & Company (UK) LTD
  National Securities Corp
  Gennity, William   First Standard Financial Company
  Alexander Capital
  Germano, Anthony   Wells Fargo Advisors Financial Network
  UBS Financial Services
  Lokits, Brandon   Wells Fargo Clearing Services
  Edward Jones
  Mesaros, Shawn   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc
  Reynolds, John Jr.   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shotz, Richard   Wells Fargo Clearing Services
  Morgan Stanley
  Vaccaro, Anthony Jr.   Raymond James & Assoc
  Southwest Securities

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According to FINRA Disciplinary actions for October 2019, 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
  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Partners
  Bailey, Michael   PFS Investments
  Primerica Financial Services
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith
  Bank of America
  Bisch, Sara   Santander Securities
  Edward Jones
  Shanks, Anita
  Gonzales, Edward
  Hegarty, Adrian   JP Morgan Securities
  Citigroup Global Markets
  Kraft, David   Morgan Stanley
  Wells Fargo Advisors
  La Gala, Anthony
  Lundstrom, Jeffrey   Signator Investors
  Transamerica Financial Advisors
  Madril, Michael   Wells Fargo Clearing Services
  Mazza, Vincent   National Securities Corp
  Kovak Securities
  McClellan, Richard   LPL Financial
  MML Investors Services
  Murano, Marc   JP Turner & Company
  Muraya, Benson
  Nurrain, Merle
  Olsen, Blair   Lincoln Investment
  Legend Equitities Corp
  Sandhu, Angad
  Scarfone, Bryce   HSBC Securities (USA) Inc
  Sperring, Donald Jr.   AXA Advisors LLC
 The Equitable Lie Assurance Society of the United States
  Su, Zachary   JP Morgan Securities
  World Financial Group
  Uwechue, Anthony   JP Morgan Securities
  Chase Investment Serivces
  Wright, Tiana   Northwestern Mutual Investment Services

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According to FINRA Disciplinary actions for October 2019, 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
  Bender, Charles   Suntrust Investment Services, Inc
  JP Morgan Securities
  Bingham, Daniel   Essex Securities
  Investors Capital Corp
  Devaney, Patrick   Financial West Group
  American P3 Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities
  Dunbarm Clinton   Union Capital Company
  IFS Securities
  Frank, Charles   NY Life Securities
  MWA Sinancial Services
  Gallacher, David   LPL Financial
  AG Edwards & Sons
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lunch, Pierce, Fenner & Smith Inc
  Gruenberg, Myron   Quest Capital Strategies
  Harris, Adrianna   Charles Schwab
  Hose, Audrey   UBS Financial Services
  Montchal, Raymond   Morgan Stanley
  Citigroup Global Markets
  Neuedorf, Robert   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors
  Kestra Investment Services, LLC
  Zhang, Xiangyu   Wells Fargo Clearing Services
  LPL Financial LLC

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Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. From 2004-2013, Sanchez worked for Metlife Securities (CRD#: 14251) at their Plantation branch. Silver Law Group represents investors in arbitration claims against SagePoint Financial. Our investment fraud law firm is in the Fort Lauderdale area and we can meet with you in person to answer any questions.Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. From 2004-2013, Sanchez worked for Metlife Securities (CRD#: 14251) at their Plantation branch.

Silver Law Group represents investors in arbitration claims against SagePoint Financial. Our investment fraud law firm is in the Fort Lauderdale area and we can meet with you in person to answer any questions. Continue reading ›

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Silver Law Group has filed FINRA arbitration claims on behalf of clients who have invested with Flynn Wealth Management of Greer, South Carolina. Flynn Wealth Management was owned by now-barred broker James Flynn (CRD# 3082615) and operated under FINRA-registered firm Voya Financial Advisors. As the firm that approved the investments Flynn Wealth Management sold to its clients, Voya is responsible for Flynn’s conduct and are the respondent claims are made against. Silver Law Group has filed FINRA arbitration claims on behalf of clients who have invested with Flynn Wealth Management of Greer, South Carolina.

Flynn Wealth Management was owned by now-barred broker James Flynn (CRD# 3082615) and operated under FINRA-registered firm Voya Financial Advisors. As the firm that approved the investments Flynn Wealth Management sold to its clients, Voya is responsible for Flynn’s conduct and are the respondent claims are made against. Continue reading ›

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Silver Law Group has filed another FINRA arbitration claim against SagePoint Financial to recover losses for a client who invested $100,000 in GPB Capital on the advice of her broker. Silver Law Group filed the first arbitration claim against SagePoint Financial to recover GPB investment losses, and continues to file claims on behalf of GPB investors with other brokerage firms. The SagePoint investor lives in California and is seeking the securities arbitration to be heard in Los Angeles, California.Silver Law Group has filed another FINRA arbitration claim against SagePoint Financial to recover losses for a client who invested $100,000 in GPB Capital on the advice of her broker.

Silver Law Group filed the first arbitration claim against SagePoint Financial to recover GPB investment losses, and continues to file claims on behalf of GPB investors with other brokerage firms. The SagePoint investor lives in California and is seeking the securities arbitration to be heard in Los Angeles, California. Continue reading ›

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James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. FINRA barred James Anderson from working in the securities industry after he failed to provide FINRA with documents and information during an investigation into allegations that he “engaged in the purchase and sale of securities away from his member firm, without the knowledge or approval of the firm.”James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. Continue reading ›

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On Thursday, November 7, 2019, Scott Silver, managing partner of Silver Law Group, and Jay Berkowitz, CEO and founder of marketing agency Ten Golden Rules, delivered a presentation to members of the South Florida Interactive Marketers Association (SFIMA).On Thursday, November 7, 2019, Scott Silver, managing partner of Silver Law Group, and Jay Berkowitz, CEO and founder of marketing agency Ten Golden Rules, delivered a presentation to members of the South Florida Interactive Marketers Association (SFIMA).

About SFIMA

Founded in 2004, SFIMA is an all-volunteer organization that promotes education, networking, and professional growth opportunities for marketers in southeast Florida. SFIMA holds monthly educational and networking events with an industry speaker. Continue reading ›

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GPB Capital Holdings, the troubled alternative asset management firm that’s being investigated by the FBI, SEC, and others, and is accused of operating like a Ponzi scheme, allegedly has significant ties to the Church of Scientology. Scientology is a system of religious beliefs and practices created by American science fiction writer L. Ron Hubbard in 1952. The religion has had many controversies over the years, including “Operation Snow White” in the 1970s, in which up to 5,000 agents infiltrated US government agencies to remove unfavorable evidence about Scientology and L. Ron Hubbard.GPB Capital Holdings, the troubled alternative asset management firm that’s being investigated by the FBI, SEC, and others, and is accused of operating like a Ponzi scheme, allegedly has significant ties to the Church of Scientology.

Scientology is a system of religious beliefs and practices created by American science fiction writer L. Ron Hubbard in 1952. The religion has had many controversies over the years, including “Operation Snow White” in the 1970s, in which up to 5,000 agents infiltrated US government agencies to remove unfavorable evidence about Scientology and L. Ron Hubbard. Continue reading ›

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Scott Silver, managing partner of Silver Law Group, delivered a presentation on variable annuity fraud at the 28th PIABA annual meeting in Austin, Texas. Variable deferred annuities are a hybrid investment that contains features of a security and insurance. According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA.”Scott Silver, managing partner of Silver Law Group, delivered a presentation on variable annuity fraud at the 28th PIABA annual meeting in Austin, Texas.

What Is A Variable Annuity?

Variable deferred annuities are a hybrid investment that contains features of a security and insurance. According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA.” Continue reading ›

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