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The SEC handles the protection of fostering transparent and competitive markets that are financially sound. In order to achieve this, the SEC issues regular fraud warnings regarding certain types of financial instruments in order to protect consumers and brokers. The SEC’s recommendations can be used as a useful tool to protect both your present and future investment opportunities.

The SEC recommends caution when it comes to the trading of unregulated securities, particularly when they are presented to consumers in the form of mortgages that promise a high yield of returns.

One such firm that is undergoing an investigation by the SEC is Woodbridge Wealth. Investors that have invested with any of their affiliates should review their investment agreements and get a second opinion by an experienced securities attorney.

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How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk on silverlaw.comWithin the United States there has been a severe crack down on the trading of securities since the sub-prime mortgage crisis in 2008. The reason for this is that there was far too little regulation on how securities are traded and whether investors were receiving full disclosure on the nature and risks of what they were investing in.

In recent years, the Securities and Exchange Commission (SEC) has instituted reforms in cooperation with many government agencies with the objectives of making a unified and fair market within the United States that protects American consumers.

While this market has improved substantially since 2008, there are still instances where companies are investigated by the SEC in order to ascertain whether they are in fact complying with SEC regulations.

Continue reading ›

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According to FINRA Disciplinary actions for November 2017, 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:

NAME FORMER EMPLOYERS
  Donald C. Blackwell   Calton & Associates, Inc.
  J.P. Turner & Company, LLC
  Samiul Anam Chowdhury   MML Investors Services, LLC
  NYLife Securities LLC
  Wayne Earl Cooksey   Lincoln Financial Advisors Corporation
  Argenis T. Cortes   Charles Schwab & Co., Inc.
  J.P. Morgan Securities LLC
  Vincent Frank D’Accardi   Stifel, Nicolaus & Company, Inc
  Matthew Evan Eckstein   Gould, Ambroson & Associates Ltd.
  Sisk Investment Services, Inc.
  Christopher Anthony Fernan   Salomon Whitney Financial
  Rockwell Global Capital, LLC
  Matthew Douglas Garrett   MML Distributors, LLC
  Suhail Saleem Khan   LPL Financial LLC
  Kingsview Asset Management, LLC
  Rick Douglas Konecny   National Securities Corporation
  J.P. Morgan Securities LLC
  Spencer David Laufer   J.H. Darbie & Co., Inc.
  Joseph Stone Capital LLC
  Kevin Allen Mee   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Cornelius Peterson   Morgan Stanley
  Stanley Calvin Pigue   Edward Jones
  James S. Polese   Morgan Stanley
  UBS Financial Services Inc.
  Jordan Charles Rodden   LPL Financial LLC
  Raymond James & Associates, Inc.
  Amus Desmond Stevens   J.P. Morgan Securities LLC
  Wells Fargo Advisors, LLC
  Jamie Yuvonne Strickland   Suntrust Investment Services, Inc.
  Wells Fargo Advisors, LLC

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for November 2017, 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
  Joseph Orazio Degregorio   Garden State Securities, Inc.
  First Standard Financial Company LLC
  Valery Vitalievich Gurin   UBS Financial Services Inc.
  Edward Jones
  Levi David Lindemann   J.P. Turner & Company, LLC
  Workman Securities Corporation
  John Scott Matthews   Global Arena Capital Corp
  Equities Trading Corp
  Ataf Nabli   Merrill Lynch, Pierce, Fenner & Smith Inc
  Banc of America Investment Services, Inc.
  Carrie Riley   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Morgan Stanley
  Englebert Sarmiento   Network 1 Financial Securities, Inc.
  E.J. Sterling, LLC

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for November 2017, 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
  Christina Albert
  Chad Michael Anderson   Farmers Financial Solutions, LLC
  Woodley Hannon Bagwell   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Damani A. Barham   Morgan Stanley
  TD Ameritrade, Inc.
  Thomas Joseph Borruso   LPL Financial LLC
  Rockwell Global Capital LLC
  Sonya Michelle Brown
  Theophilus K. Denanyoh
  Daniel Paul Doogs   Ameriprise Financial Services, Inc.
  IDS Financial Services Inc.
  Daniel A. Dupont   Santander Securities LLC
  Mutual of Omaha Investor Services, Inc.
  Mariam Gabashvili   J.P. Morgan Securities LLC
  Albert Sidney Gersh   LPL Financial LLC
  Morgan Stanley DW Inc.
  Robert Norman Greco   Morgan Stanley
  Bettye Clements Hays   Principal Securities, Inc.
  Princor Financial Services Corporation
  John Kaleihiehie Kai   First Allied Securities, Inc.
  Commonwealth Financial Network
  David Russell Kondracke   Merrill Lynch, Pierce, Fenner & Smith Inc
  Advest, Inc.
  Danielle Lamb
  Chea Anetta Ledbetter
  Jacob Richard Luithle   Pruco Securities, LLC
  NYLife Securities LLC
  Sampson Pearson Jr.   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc.
  Douglas A. Rabess   NYLife Securities LLC
  Frank Blaise Anthony Restifo, Jr.   The Huntington Investment Company
  Matthew Patrick Seemann   Wells Fargo Clearing Services, LLC
  Morgan Stanley Smith Barney
  Matthew Carl Shepard   Securian Financial Services, Inc.
  Wealthspan Financial Group
  Elizabeth Eunyoung Skillman   LPL Financial LLC
  TD Ameritrade, Inc.
  Maria Nancy Tamburro   Ameriprise Financial Services, Inc.
  Bethany Chanel Thompson   Foresters Financial Services, Inc.
  Matthew D. Webster   Wells Fargo Advisors, LLC
  Cadaret, Grant & Co., Inc.

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for October 2017, 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
  Nicholas Esteban Arango   Joseph Stone Capital LLC
  Rockwell Global Capital LLC
  Leonardo S. Araujo   TD Ameritrade, Inc.
  Edward Jones
  Michael Biggs   Bank of America, N.A.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Shawn Evan Burns   Salomon Whitney Financial
  Cape Securities Inc.
  Brian M. Cain   Edward Jones
  Primevest Financial Services, Inc.
  Jaime Renato Cerda  
  Steven Gary Dash   Hallmark Investments, Inc.
  GunnAllen Financial, Inc.
  Diane Lee Dubshinski   Cape Securities Inc.
  1st Discount Brokerage, Inc.
  Kristopher A. Galicia Rodriguez   NYLife Securities LLC
  Yohandy Gonzalez   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maria Cecilia Yumang Haoson  
  David Travis Hicks III   Allstate Financial Services, LLC
  Issei Kubota   Citigroup Global Markets Inc.
  Dale Anne Luce   RBC Capital Markets LLC
  UBS Financial Services Inc.
  Susan V. Magann  
  Kenneth Paul Mulvaney   MHA Financial Corp
  Marc Harold Pearl   Wells Fargo Advisors, LLC
  LPL Financial LLC
  Gerald Edward Peterson   Farmers Financial Solutions, LLC
  Florence Santiago  
  Jason Soricelli  
  Scott Ellis Stacke   William Blair & Company LLC
  Nancy Todd  
  Robert C. Tsai   E*Trade Securities LLC
  TD Ameritrade, Inc.
  Victoria Anne VanDyke   Corinthian Partners, LLC
  Matrix U.S.A., LLC
  Rosa Alicia Vazquez   Integrity Brokerage Services, Inc.
  White Pacific Securities, Inc.

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for October 2017, 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
  James Curtis Ackerman   Sloan Securities Corp.
  Sloan Investment Advisors LLC
  David Charles Cannata   Craig Scott Capital, LLC
  Brookstone Securities, Inc.
  Joseph Casella   Morgan Stanley
  Michael Todd Clements   Intercoastal Capital Markets, Inc.
  Avenir Financial Group
  James Gabriel Collard   Managed Account Services, LLC
  VFinance Investments, Inc.
  Avelino Cortina III   Wells Fargo Advisors, LLC
  Citigroup Global Markets Inc.
  Tory A. Duggins   Avenir Financial Group
  National Securities Corporation
  Timothy Stephen Fannin   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Craig Charles Franzke   PNC Investments
  Natcity Investments, Inc.
  Johan Henrik Frisell   Cambridge Investment Research, Inc.
  Capital Wealth Strategies LLC
  Dwight O’Neal Fulton Jr.   Emmett A. Larkin Company, Inc.
  Brookshire Securities Corporation
  Gerard Chandler Gremillion   ProFinancial, Inc.
  Michael Dean Martin   UBS Financial Services Inc.
  Morgan Stanley & Co., Inc.
  Christopher Russell McNamee   Dakota Securities International, Inc.
  Sterling Financial Investment Group, Inc.
  Farid Morim   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Brent Morgan Porges   Meyers Associates, L.P.
  Newbridge Securities Corporation
  Fredrick Deon Reagan   Wells Fargo Advisors, LLC
  Edward Jones

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for October 2017, 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:

NAME FORMER EMPLOYERS
  Kayla Jo Brassesco
  Aalim Jamaal Brown   NYLife Securities LLC
  Laura Ann Cava   Wells Fargo Clearing Services, LLC
  Jessica Marie Franze
  Robert William Griffin   Cantella & Co Inc.
  Cornerstone Investment Services
  Stephen Allen Holmes   Voya Financial Advisors, Inc.
  Ameriprise Financial Services, Inc.
  Khalil, Adham Shafik   Allstate Financial Services, LLC
  Kipp, Stephen Joseph    NPB Financial Group, LLC
  National Planning Corporation
  Craig Gary Langweiler   Windsor Street Capital, LP
  Meyers Associates LP
  Caeron Arlington McClintock   Spartan Capital Securities, LLC
  Legend Securities, Inc.
  Christine Doreen Memet   PNC Investments
  Chase Investment Services Corp.
  Lawrence Lee Olivas Jr.   Wells Fargo Advisors
  Monica Jean O’Neill   Mutual of Omaha Investor Services, Inc.
  Thrivent Investment Management Inc.
  Vanessa Beth-Anne Reeves-Farry   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Casey Thomas Rodriguez   Arive Capital Markets
  Chelsea Financial Services
  Jessica Rene Sewell
  Clint Herrison Stoffels   UBS Financial Services Inc.
  Anaida Tashchyan   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Harvey Alan Weisenfeld   Allstate Financial Services, LLC
  Wood Financial Insurance Group Inc.
  David Arthur Wismer III   LPL Financial LLC

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for September 2017, 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:

NAME FORMER EMPLOYERS
  Christina Albert
  Woodley Hannon Bagwell   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Helle Romer Bannister   J.P. Morgan Securities LLC
  HighTower Securities, LLC
  Sonya Michelle Brown
  Jason Harry Buchanan   Morgan Stanley Smith Barney
  Citigroup Global Markets Inc.
  Daniel P. Capeless   FBR Capital Markets & Co.
  Donald William Chupp   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Wesley Claflin   Merrill Lynch, Pierce, Fenner & Smith Inc.
  Brett Allen DeFore   Raymond James & Associates, Inc.
  Morgan Keegan & Company, Inc.
  Theophilus K. Denanyoh
  Daniel Paul Doogs   Ameriprise Financial Services, Inc.
  IDS Life Insurance Company
  Daniel A. Dupont   Santander Securities LLC
  Mutual of Omaha Investor Services, Inc.
  John Charles Epting, Jr.   Transamerica Financial Advisors, Inc.
  World Group Securities, Inc.
  Mark Joseph Flanagan   Citigroup Global Markets Inc.
  Wells Fargo Advisors, LLC
  Edward Kenneth Frost   Western International Securities, Inc.
  GBS Financial Corp.
  Mariam Gabashvili   J.P. Morgan Securities LLC
  Charles Edwin Garrison   Davenport & Company LLC
  First Union Securities, Inc.
  Albert Sidney Gersh   LPL Financial LLC
  Morgan Stanley DW Inc.
  Robert Constantine Gray   Farmers Financial Solutions, LLC
  Robert Norman Greco   Morgan Stanley
  Leanna Greene   State Farm VP Management Corp.
  John Kaleihiehie Kai   First Allied Securities, Inc.
  Commonwealth Financial Network
  Chea Anetta Ledbetter
  Matthew M. McDonagh   Osprey Partners LLC
  Cabot Lodge Securities LLC
  Terry Mark Mlodzik   UBS Financial Services Inc.
  Michael Ryan Mueller   Fidelity Brokerage Services LLC
  Sampson Pearson, Jr.   Northwestern Mutual Investment Services, LLC
  Robert W. Baird & Co. Inc
  Craig Allan Price   Raymond James Financial Services, Inc.
  Craig A. Price LLC
  Frank Blaise Anthony Restifo, Jr.   The Huntington Investment Company
  Carlos Antonio Rodriguez   UBS Financial Services Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Matthew Carl Shepard   Securian Financial Services, Inc.
  Carty & Company, Inc.
  Mark Eliot Silverman   MML Investors Services, LLC
  Park Avenue Securities LLC
  David Edward Smith   The Huntington Investment Company
  Jon William Stagnone   Fidelity Brokerage Services LLC
  Maria Nancy Tamburro   Ameriprise Financial Services, Inc.
  John Anthony Vedovino   Wells Fargo Advisors, LLC
  HFP Capital Markets LLC
  Matthew D. Webster   Wells Fargo Advisors, LLC
  Cadaret, Grant & Co., Inc.

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for September 2017, 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
  Alvin Wayne Blancett   Raymond James Financial Services, Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Thomas M. Fayad   Oppenheimer & Co. Inc.
  UBS Financial Services Inc.
  Robert Peter Lappin   MetLife Securities Inc.
  New England Securities
  Nicholas Ronald MacNab   Suntrust Investment Services, Inc.
  BB&T Investment Services, Inc.
  George Henry Messier   Wells Fargo Clearing Services, LLC
  Great Heritage Investments, LLC
  Brian Moltz   MML Investors Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gazmend Murtezi   Citizens Securities, Inc.
  PNC Investments
  Brendan O’Connell   Merrill Lynch, Pierce, Fenner & Smith Inc
  UBS Financial Services Inc.
  Arra Poghossian   Scottrade, Inc.
  TD Ameritrade, Inc.
  Brent Morgan Porges   Meyers Associates, L.P.
  Newbridge Securities Corporation
  Charles Courtney Sandoval   Allstate Financial Services, LLC
  SII Investments, Inc.
  John Leo Valentine   Purshe Kaplan Sterling Investments
  Securities America, Inc.

 

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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