A National Securities Arbitration & Investment Fraud Law Firm
CRD#1073181
Silver Law Group is investigating former Livermore, California-based Securities America broker Timothy D. Ballard after FINRA indefinitely suspended him following his failure to respond to a FINRA request for information.
CRD#4913490
Silver Law Group is investigating Former Syracuse, New York-based Wells Fargo broker Matthew Webster following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations.
CRD#2370593
Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse.
On November, 2016, FINRA announced fines against five (5) Cetera Financial Group brokerage firm subsidiaries in an amount of $2.95 million for supervisory failures related to variable annuity L-shares.
FINRA fined the following Cetera Financial Group-related firms:
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