A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Stockbroker Misconduct

|

Silver Law Group continues to file FINRA arbitration claims on behalf of clients against Voya Financial Advisors regarding its former employee James Flynn (CRD# 3082615) of Greenville, South Carolina. The claims requests compensatory damages for our clients and allege that Voya failed to supervise Flynn’s conduct while he was working for them.Silver Law Group continues to file FINRA arbitration claims on behalf of clients against Voya Financial Advisors regarding its former employee James Flynn (CRD# 3082615) of Greenville, South Carolina.

The claims requests compensatory damages for our clients and allege that Voya failed to supervise Flynn’s conduct while he was working for them. Continue reading ›

|

Silver Law GroupSilver Law Group has filed a FINRA arbitration claim for more than $1 million on behalf of an investor who purchased shares in a GPB Capital’s Automotive Portfolio. The claim is against the broker-dealer who sold the investment to our client. Starting in 2016, based on the strong recommendation of their brokers, our clients made purchases in GPB Capital’s Automotive Portfolio that totaled $1,100,000. The Automotive Portfolio is a private placement managed by GPB which has more than $600 million in assets. GPB Capital raised more than $1.5 billion, mostly from retail investors with accounts at regional broker-dealers. has filed a FINRA arbitration claim for more than $1 million on behalf of an investor who purchased shares in a GPB Capital’s Automotive Portfolio. The claim is against the broker-dealer who sold the investment to our client.

Starting in 2016, based on the strong recommendation of their brokers, our clients made purchases in GPB Capital’s Automotive Portfolio that totaled $1,100,000. The Automotive Portfolio is a private placement managed by GPB which has more than $600 million in assets. GPB Capital raised more than $1.5 billion, mostly from retail investors with accounts at regional broker-dealers. Continue reading ›

|

Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Block began in the industry in 1990. In February, 2019 FINRA barred him from acting as a broker after he failed to respond to a request for information. His publicly-available FINRA BrokerCheck report lists 17 disclosures from 1999 to 2019. 12 of the disclosures are customer disputes, and 5 are regulatory events.Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Continue reading ›

|

The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients. According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases.The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients.

According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases. Continue reading ›

|

Silver Law Group has filed a FINRA arbitration claim to help a client recover more than $200,000 that was lent to his broker and never repaid. Our client is a senior citizen living in Florida who was seeking to secure his nest egg for the future by investing for long-term growth with moderate risk. A close personal friend referred our client to his broker, who at the time was a financial advisor at a leading investment firm.Silver Law Group has filed a FINRA arbitration claim to help a client recover more than $200,000 that was lent to his broker and never repaid.

Our client is a senior citizen living in Florida who was seeking to secure his nest egg for the future by investing for long-term growth with moderate risk. A close personal friend referred our client to his broker, who at the time was a financial advisor at a leading investment firm. Continue reading ›

|

GPB Capital investors are suffering catastrophic losses on their investments. GPB has reduced the valuations of their portfolio and investor complaints against selling brokers continue to pile up.GPB Capital investors are suffering catastrophic losses on their investments. GPB has reduced the valuations of their portfolio and investor complaints against selling brokers continue to pile up.

GPB Capital includes the following funds:

  • GPB Cold Storage
  • GPB Automotive Fund
  • GPB Automotive Income
  • GPB Holdings II and III
  • GPB Waste Management
  • GPB NY Development

Continue reading ›

|

GPB Capital Holdings is being sued by one of its business partners, David Rosenberg, for allegations of financial misconduct. According to the lawsuit, Rosenberg is the chief executive of Prime Automotive Group. In 2017, he sold a majority stake in the company to GPB for $235 million. Rosenberg’s lawsuit accuses GPB of running like a Ponzi scheme by using investor’s money to pay other investors. He also alleges that GPB tried to force him out after he complained about their behavior to the SEC.GPB Capital Holdings is being sued by one of its business partners, David Rosenberg, for allegations of financial misconduct. According to the lawsuit, Rosenberg is the chief executive of Prime Automotive Group. In 2017, he sold a majority stake in the company to GPB for $235 million. Rosenberg’s lawsuit accuses GPB of running like a Ponzi scheme by using investor’s money to pay other investors. He also alleges that GPB tried to force him out after he complained about their behavior to the SEC. Continue reading ›

|

Robert Charles High II (CRD: #4568165) is a former registered broker and investment advisor whose last employer was First Financial Equity Corporation (CRD#:16507) of Scottsdale, AZ. His previous employers include Chase Investment Services Corp. (CRD#:25574) and Banc One Securities Corporation (CRD#:16999.) He has been in the industry since 2002.The FBI opened an investigation on 2/14/2019 into Robert High over allegations of potential forgery and misappropriation of funds. On 2/20/2019, First Financial Equity Corporation discharged High for “violations of firm policies.” Robert Charles High II (CRD: #4568165) is a former registered broker and investment advisor whose last employer was First Financial Equity Corporation (CRD#:16507) of Scottsdale, AZ. His previous employers include Chase Investment Services Corp. (CRD#:25574) and Banc One Securities Corporation (CRD#:16999.) He has been in the industry since 2002.

The FBI opened an investigation on 2/14/2019 into Robert High over allegations of potential forgery and misappropriation of funds. On 2/20/2019, First Financial Equity Corporation discharged High for “violations of firm policies.” Continue reading ›

|

James Bradley Schwartz (CRD# 3043085) is a former registered broker whose last employer was Joseph Gunnar & Co. LLC (CRD#:24795) of New York, NY. Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. (CRD#:15007) of Melville, NY.  He has been in the industry since 1998.During his tenure with Aegis (2013 through 2016), Schwartz was the subject of six customer disputes, all of which were settled by the firm. The allegations against Schwartz were similar: unauthorized and excessive trading, unsuitable recommendations, breach of fiduciary duty, negligence, misrepresentation, and others. The damages requested for these six disputes totaled $6,861,954.47, and the damages awarded totaled $2,730,286.36.James Schwartz (CRD# 3043085) is a former registered broker whose last employer was Joseph Gunnar & Co. LLC (CRD#:24795) of New York, NY. Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. (CRD#:15007) of Melville, NY.  He has been in the industry since 1998. Continue reading ›

|

Silver Law Group continues to file claims for investors who purchased GPB Capital. FINRA arbitration claims are being filed in an effort to recover the money investors lost alleging broker dealers were negligent. In many cases, investors are arguing that the brokerage firms who sold GPB to them failed to do adequate due diligence and/or overconcentrated their accounts in GPB. Silver Law Group has filed arbitration claims on behalf of clients who invested in GPB, including the first against Advisor Group broker-dealer SagePoint Financial, which requests $400,000 in damages.Silver Law Group continues to file claims for investors who purchased GPB Capital. FINRA arbitration claims are being filed in an effort to recover the money investors lost alleging broker dealers were negligent.

In many cases, investors are arguing that the brokerage firms who sold GPB to them failed to do adequate due diligence and/or overconcentrated their accounts in GPB. Continue reading ›

Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

California Consumer Privacy Act (CCPA) Opt-Out IconYour Privacy Choices Cookie Policy Manage Cookies

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Silver Law Group
JUSTIA Law Firm Blog Design