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$70 MILLION Recovery for Investment Fraud
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$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
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Public Justice

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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 ›

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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 ›

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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 ›

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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 ›

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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 ›

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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 ›

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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 ›

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Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996. Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm.Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996.

Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm. Continue reading ›

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Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000. Sosa was “permitted to resign” from Sagepoint (now Osaic Services, Inc.) on 7/8/2022 when the firm discovered that he had been named contingent beneficiary and successor trustee to a client’s living trust document in their file. This violated Sagepoint’s policies and procedures. However, Sosa stated that he was unaware of these designations. The firm found no evidence that Sosa had acted as a trustee or received any benefit from the client's trust.Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000. Continue reading ›

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Eugene Thompson (Eugene Cebron Thompson IV CRD# 4350479, aka Bron Thompson, EC Thompson IV) is a registered broker and investment advisor currently employed with Capital Investment Group, Inc. (CRD# 14752) of Dunn, NC. He was previously employed with Wells Fargo Advisors, LLC (CRD# 19616) of Wilmington, NC, as both a broker and investment advisor. He has been in the industry since 2001. Thompson has five disclosures on his CRD, four of which stem from client investments in GWG Holdings L-Bonds. Two were filed on 2/29/2024, and are currently pending: Client requests damages of $200,000, alleging violation of Regulation Best Interest, including breach of contract, breach of fiduciary duty, negligence, negligent representation, and failure to supervise. Client requests damages of $ $336,002.44, alleging violations of the NC Securities Act, as well as unfair or deceptive trade practices, fraudulent representation and breach of fiduciary duty.Eugene Thompson (Eugene Cebron Thompson IV CRD# 4350479, aka Bron Thompson, EC Thompson IV) is a registered broker and investment advisor currently employed with Capital Investment Group, Inc. (CRD# 14752) of Dunn, NC. He was previously employed with Wells Fargo Advisors, LLC (CRD# 19616) of Wilmington, NC, as both a broker and investment advisor. He has been in the industry since 2001. Continue reading ›

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