Securities Arbitration Lawyers Blog
Broker Sierra Alexandria CrockerBarred By FINRA After Fraud Arrest
Sierra Alexandria Crocker (CRD #6725624) is a previously registered broker whose last known and only broker employer was Voya Financial Partners, LLC (CRD#:34815) of Jacksonville, FL. She began in the industry in 2016, and no current employment information is available.
Crocker’s employment with Voya was terminated on 03/02/2018 after she was arrested “for a violation of Section 817.034(4)(A)3 of the Florida Statutes for organized fraud.” According to available arrest information, she was released on a $10,000 bond. Continue reading ›
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Francisco Javier Valenzuela (CRD#:
On November 2, 2018, the FTC put out a press release regarding Simple Health Plans LLC, which announced that, at its request “a federal judge temporarily shut down a Florida-based operation that allegedly collected more than $100 million by preying on Americans in search of health insurance, selling these consumers worthless plans that left tens of thousands of people uninsured.”
A class action lawsuit has been filed on behalf of investors against Health Insurance Innovations, Inc. (HIIQ), a distributor of health insurance plans. The lawsuit concerns potential violations of state and federal laws by the company and its officers.
Silver Law Group has filed the first arbitration claim against SagePoint Financial related to GPB Capital investments. The claim, filed on behalf of a client who invested in GPB’s automotive fund, is for $400,000.
UBS has marketed a so-called “Yield Enhancement Strategy” (YES) to certain of its clients as a safe way to increase the return on their money. Unfortunately, though marketed as low-risk, their Yield Enhancement Strategy was quite risky and ended up causing some investors to lose money. What was supposed to increase wealth ended up destroying it.
Village Farms International, Inc. (VFF), a publicly-traded vertically-integrated greenhouse grower of produce and cannabis, is being investigated by Silver Law Group concerning potential securities laws violations as well as violations by the selling stockbrokers.
Apyx Medical Corporation (APYX), a publicly-traded company that manufactures and sells medical devices, is the subject of a class action lawsuit that has been filed on behalf of shareholders who lost money investing in the company.
Silver Law Group is investigating Level Brands, Inc. (LEVB), a publicly-traded company that produces CBD (cannabidiol) products under the cbdMD brand, on behalf of investors concerning whether the company and its officers or directors may have violated federal securities laws, as well as violations by the selling stockbrokers.