A National Securities Arbitration & Investment Fraud Law Firm
Bao Quoc Vu
CRD# 5090067
Silver Law Group is looking into former TD Ameritrade broker Bao Quoc Vu after a FINRA complaint alleging unsuitable investment recommendations related to Aequitas promissory notes was filed against him.
With 38 years of experience in the securities industry, Boca Raton-based Stoever, Glass & Company, Inc. broker Larry Charles Wolfe has a total of 14 disclosures listed on his Financial Industry Regulatory Authority (FINRA) BrokerCheck report.
Most recently, in June 2017, Wolfe received a $5,000 fine and 15-day suspension from participating in the securities industry for allegedly exercising discretion in the accounts of customers. He is reported to have submitted sell orders to sell one particular security in each customer account without obtaining prior written authorization from the customers or written approval of the accounts as discretionary from his member firm.
After 16 years in the securities industry, Wells Fargo Clearing Services broker James R. Schaedler is now indefinitely barred by the Financial Industry Regulatory Authority (FINRA). According to his FINRA BrokerCheck report, Schaedler was discharged by Wells Fargo Clearing Services in January 2017 for allegedly allowing his daughter to receive funds via check from a client, the majority of which were subsequently received by Schaedler himself.
Then in June 2017, a FINRA disciplinary action was filed which stated, “FINRA commenced an investigation in January 2016 into allegations that Schaedler exercised influence over a former elderly client, who ultimately amended her trust making Schaedler a partial beneficiary and the residual beneficiary of her $2.3 million-dollar estate. The investigation was later expanded to include allegations that Schaedler also improperly received a $200,000 gift from a second elderly client.”
William J. Paynter
CRD# 2835535
Silver Law Group is reviewing Scottsdale, Arizona-based Wells Fargo broker William J Paynter after a customer filed a FINRA complaint alleging unsuitable investments.
Mark J. Flanagan
CRD#1949836
Silver Law Group is investigating former Highland Park, Illinois-based Citigroup Global Markets broker Mark J. Flanagan after he failed to respond to an official request for information and was temporarily suspended by FINRA.
Ross A Stein
CRD# 19616
Silver Law Group is investigating New York-based Wells Fargo broker Ross A Stein after a customer filed a complaint against him related to the purchase of Puerto Rico municipal bonds.
Lorenzo C. Esteva
CRD#2170595
Silver Law Group is auditing former Miami, Florida-based UBS Financial Services broker Lorenzo C Esteva, after multiple customer allegations of unauthorized trading and misrepresentation.
Mack L. Miller
CRD#2822317
Silver Law Group is investigating New York, New York-based former Dawson James Securities Broker Mack L. Miller after multiple clients filed FINRA complaints alleging misrepresentation and excessive trading in client accounts.
Jeffrey L. Mischel
CRD# 1374486
Silver Law Group is examining Carlsbad, California-based Wells Fargo broker Jeffrey L. Mischel after multiple clients filed FINRA complaints alleging misrepresentation relating to the purchase of Puerto Rico municipal bonds.
Mark F. Augusta
CRD# 1333913
Silver Law Group is investigating potential customer complaints against Del Mar, California-based Hilltop Securities Inc. broker Mark F Augusta after a former client was issued a large monetary award settlement.
Securities Arbitration Lawyers Blog