A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for May 2025, 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 |
| Cassandra N. Heitz | LPL Financial, LLC |
| Investment Canters of America |
According to FINRA Disciplinary actions for March 2025, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Daylon Figueroa | Brightnouse Securities LLC |
| Jackson National Life Distribution | |
| Kristina Jaymes Hoisington | |
| Lawrence Nathaniel Parker | Northwestern Mutual Investment |
| Gian Carlo Piovanetti | Popular Securities LLC |
| Jeddidiah Ropheka Yohannes | Cetera Investment Services LLC |
| Edward Jones |
According to FINRA Disciplinary actions for March 2025, 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 |
| John Douglas Engler Sr. | Ameriprise Financial Services |
| Wells Fargo Advisors LLC | |
| Joseph Alan Seidler | RBC Capital Markets LLC |
| Wells Fargo Clearing Services | |
| Robert A. Thomas | IBN Financial Services Inc |
| Avantax Investment Services. | |
| Robert James Tracy | LPL Financial LLC |
| Wells Fargo Clearing Services | |
| Robert Thomas Wong | Jefferies LLC |
| Scott-Macon Securities Inc |
According to FINRA Disciplinary actions for April 2025, 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 |
| Eric Jason Abrahams | Burch & Company |
| Raymond James & Associates, Inc. | |
| James Burchett Cross | Charles Schwab & Co. Inc. |
| Commerce Brokerage Services Inc | |
| Michael Fasciglione | Aegis Capital Corp |
| National Securities Corp. | |
| Jason Michael Fekete | Ameritas Investment Company LLC |
| Lincoln Financial Securities | |
| Jeremy W. Fortner | Wells Fargo Clearing Services |
| J. P. Morgan Securities LLC | |
| Todd Loring Luft | B. Riley Wealth Management |
| Ameriprise Financial Services LLC | |
| Andrew Garrett Mandala | Burch & Company |
| Raymond James & Associates Inc. | |
| James J. Mariani | Aegis Capital Corp. |
| National Securities Corporation | |
| Amy Leanne Marx | Osaic Wealth Inc. |
| Park Ave Securities LLC | |
| Daniella R. Rand | International Assets Advisory LLC |
| Merrill Lynch, Pierce, Fenner | |
| Ruben Trujillo | Wells Fargo Clearing Services LLC |
| PNC Investments |
According to FINRA Disciplinary actions for April 2025, 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 |
| Mark Brosa
|
Ameriprise Financial Services, LLC |
| Edward Jones | |
| Ryan D. Clayton | Merrill Lynch, Pierce, Fenner |
| First Citizens Investor Services | |
| Christopher Paul Hale | JP Morgan Securities |
| MML Investor Services LLC | |
| Desmond Lawrence James-Jones | Equitable Advisors LLC |
| Gustavo Santos Miramontes | Oppenheimer & Co.inc. |
| Wedbush Securities Inc. | |
| Ryan K. Taleghani | Morgan Stanley |
| Merrill Lynch | |
| Vanessa Arlene Webber |
According to FINRA Disciplinary actions for April 2025, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Anthony Richard Bottini III | Merrill Lynch |
| JEU Emmanuel Delgado Lopez | PFS Investments Inc. |
| Jerome Oliver Harris | Farmers Financial Solutions LLC |
| Thomas Christopher Johnson | NYLife Securities LLC |
| Amanda E Kriss | J.P. Morgan Securities |
| Chase Investment Services Corp | |
| Michael Oakley Thomas | Thrivent Investment Management |
If you invested in the 352 Capital Fund through Jefferies Financial Group Inc., contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options.
The U.S. Securities and Exchange Commission has filed indictments for fraud against two individuals over a fraudulent franchise scheme involving water purification vending machines. They were: Ryan Wear, the CEO of WaterStation, and Jordan Chirico, a former Jefferies Financial Group Inc., hedge fund manager charged with fraud for directing nearly $100 million in bonds. These individuals targeted retail investors, including veterans, who have lost over $200 million. Continue reading ›
Silver Law Group is investigating an alleged scheme to defraud 3|5|2 Capital ABS Master Fund LP (the “352 Fund”), which is a hedge fund that was part of Jefferies Financial Group’s Leucadia Asset Management (“Leucadia”). The former Leucadia portfolio manager of the 352 Fund, Jordan Chirico, was indicted for purportedly engaging in a series of conflicted transactions at the expense of those who entrusted Leucadia with hundreds of millions of dollars to invest in the 352 Fund. Continue reading ›
Silver Law Group, along with co-counsel, filed a class action lawsuit against Jerry Hostetter, Buck Joffrey, Randall Leaman, and David Zook on behalf of investors to recover losses in what the Plaintiff alleges was a “$700,000,000 Ponzi scheme perpetrated by and through a series of investment funds, called the ‘Prestige Fund(s),’ together with Paramount Management Group, LLC.” Continue reading ›
Silver Law Group seeks to speak to investors in the Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), which has recently declined in value by about half. Our firm may be able to help you recover your losses.
If you bought or acquired shares of Easterly ROCMuni High Income Municipal Bond Fund (RMHIX), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 or ssilver@silverlaw.com for a no-cost consultation. Continue reading ›
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