A National Securities Arbitration & Investment Fraud Law Firm

$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
American Association for Jusice
Florida Legal Elite 2011
Legal Leaders
5th Annual Most Effective Lawyers 2009
Multi-Million Dollar Advocates Forum
Super-Lawyers
SFLG
Top 100
Public Justice

|

Silver Law Group successfully represented the plaintiffs in a FINRA arbitration claim to recover losses from GWG L-Bonds investments. The claim alleged that Boston-based broker-dealer Ages Financial Services did not fully inform the investors of the risks of the L-Bonds. A panel of arbitrators awarded our clients $246,000. In their decision, the FINRA arbitration panel stated that Ages did not inform our clients about the risks of GWG L Bonds or discuss alternatives and “The investments were not discussed in terms of quantitative suitability in relation to [the clients’] overall portfolios.”  The arbitrators noted in the award that the L-Bonds were “inappropriate.”Silver Law Group successfully represented the plaintiffs in a FINRA arbitration claim to recover losses from GWG L-Bonds investments. The claim alleged that Boston-based broker-dealer Ages Financial Services did not fully inform the investors of the risks of the L-Bonds. A panel of arbitrators awarded our clients $246,000. Continue reading ›

|

Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the Financial Industry Regulatory Authority (FINRA) alleging misconduct related to investments in structured note products. Collectively, the customers in these recently-filed arbitrations allege damages in excess of $60 million based on legal claims such as breach of fiduciary duty, fraud, negligence, breach of contract, and violations of various federal and state securities laws. Based on its investigation, Silver Law Group believes other customers have lost substantially more.Silver Law Group is actively investigating potential claims involving Stifel, Nicolaus broker Chuck Roberts (CRD# 2064602), a financial advisor currently employed with Stifel, Nicolaus & Company, Inc. with offices located in New York, NY and Miami Beach, FL. Roberts is currently the subject of sixteen customer-initiated arbitrations filed with the Financial Industry Regulatory Authority (FINRA) alleging misconduct related to investments in structured note products. Continue reading ›

|

Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his public record, Roberts also was censured, fined, and suspended by FINRA for violation of various securities industry rules in 2010.Stockbroker and financial advisor Chuck Roberts is the subject of sixteen pending investor complaints, according to Roberts’ FINRA record. Since 2016, Roberts has been employed by and registered with brokerage firm Stifel, Nicolaus & Company, Inc. with offices in New York, New York and Miami Beach, Florida. According to his public record, Roberts also was censured, fined, and suspended by FINRA for violation of various securities industry rules in 2010. Continue reading ›

|

Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New York.Silver Law Group is investigating investor claims involving Stifel, Nicolaus & Company broker Chuck Roberts, who is currently the subject of sixteen investor complaints relating to mishandling of investors’ portfolios. Roberts, a Stifel, Nicolaus & Company broker since 2016, catered primarily to clients in Miami, Florida and New York, New York. Continue reading ›

|

Silver Law Group is investigating major banks and financial institutions for potentially failing to provide competitive interest rates on cash balances in brokerage and advisory accounts. Over the past few years of high-interest rates, while customers earned minuscule returns, some banks earned billions on customers’ cash balances. If you believe you are a victim of this misconduct, contact us at (800) 975-4345 or ssilver@silverlaw.com. The Issue With Low-Interest-Bearing Accounts Many banks that offer brokerage and advisory services offer "Cash Sweep" programs to roll customers’ uninvested funds into interest-bearing accounts. However, a concerning trend has emerged: banks appear to be paying customers extremely low interest rates while retaining the bulk of the earnings. This has allowed these firms to capitalize on the high-interest rate environment while paying accountholders less than 1%, in some cases.Silver Law Group is investigating major banks and financial institutions for potentially failing to provide competitive interest rates on cash balances in brokerage and advisory accounts. Over the past few years of high-interest rates, while customers earned minuscule returns, some banks earned billions on customers’ cash balances. If you believe you are a victim of this misconduct, contact us at (800) 975-4345 or ssilver@silverlaw.com. Continue reading ›

|

Silver Law Group is investigating banks and brokerage firms for failing to provide competitive interest rates to its customers in this high-interest-rate environment. When customers open accounts, certain firms enroll accountholders in Bank Sweep Programs, which may incur significant expenses for customers while benefiting the banks.  If you believe you've been affected by unfairly low interest rates, contact Silver Law Group at (800) 975-4345 or email ssilver@silverlaw.com. What Are Banks And Brokerage Firms Doing Wrong? Several class actions have been filed against financial institutions regarding their "Cash Sweep Programs." When customers open accounts, the firms allegedly automatically enroll customers in cash sweep programs that "sweep" uninvested cash balances into interest-bearing bank accounts chosen by the banks.Silver Law Group is investigating banks and brokerage firms for failing to provide competitive interest rates to its customers in this high-interest-rate environment. When customers open accounts, certain firms enroll accountholders in Bank Sweep Programs, which may incur significant expenses for customers while benefiting the banks.  If you believe you’ve been affected by unfairly low interest rates, contact Silver Law Group at (800) 975-4345 or email ssilver@silverlaw.com. Continue reading ›

|

An investor has filed a Class Action Complaint against Wells Fargo in the Northern District of California alleging that Wells Fargo failed to pay the highest-available interest rate on the cash balance in customer accounts. The Class Action Complaint, filed July 31, 2024, alleges that Wells Fargo breached its fiduciary duties to customers, breached its contract with certain accountholders, and was unjustly enriched via the alleged misconduct.An investor has filed a Class Action Complaint against Wells Fargo in the Northern District of California alleging that Wells Fargo failed to pay the highest-available interest rate on the cash balance in customer accounts.

The Class Action Complaint, filed July 31, 2024, alleges that Wells Fargo breached its fiduciary duties to customers, breached its contract with certain accountholders, and was unjustly enriched via the alleged misconduct. Continue reading ›

|

Gianluca De Berardinis (CRD: 4893776) is a formerly registered broker last employed with Morgan Stanley Wealth Management (CRD# 149777) of New York, NY. He was previously employed briefly with Quad Capital, LLC (CRD# 148927), also of New York. He has been in the industry since 2012. De Berardinis failed to respond to FINRA’s requests for information. FINRA followed with letters of suspension and association, which became a permanent and indefinite bar from association with any FINRA member in all capacities on March 15, 2024. No additional information is available. De Berardinis voluntarily resigned from Morgan Stanley on 6/23/2023. Morgan Stanley alleges in the Form F5 that he was involved in both selling away and taking unauthorized withdrawals from a customer’s brokerage account. In his broker comment, De Berardinis stated that he left to open his own registered investment advisory firm.Gianluca De Berardinis (CRD: 4893776) is a formerly registered broker last employed with Morgan Stanley Wealth Management (CRD# 149777) of New York, NY. He was previously employed briefly with Quad Capital, LLC (CRD# 148927), also of New York. He has been in the industry since 2012. Continue reading ›

|

Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma'on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. FINRA investigated after receiving the Form U5 sent in by Raymond James after they allowed Adams to voluntarily resign on 10/7/21. This followed allegations that Adams “may have misappropriated assets” from a client’s estate while previously acting as an executor for the estate. FINRA received the Form U5 on November 5, 2021, and sent a letter to Adams on December 22, 2023.Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma’on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. 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

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

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 © 2025, Silver Law Group
JUSTIA Law Firm Blog Design