Securities Arbitration Lawyers Blog

Woodbridge Wealth and Woodbridge Group of Companies SEC Investigation

December 4, 2017 | Silver Law Group

Within 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.

FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules

December 1, 2017 | Silver Law Group

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

Registered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules

December 1, 2017 | Silver Law Group

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.

FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017

December 1, 2017 | Silver Law Group

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.
Woodley Hannon Bagwell	Morgan Keegan & Company, Inc.
Damani A. Barham	Morgan Stanley
Damani A. Barham	TD Ameritrade, Inc.
Thomas Joseph Borruso	LPL Financial LLC
Thomas Joseph Borruso	Rockwell Global Capital LLC
Sonya Michelle Brown
Theophilus K. Denanyoh
Daniel Paul Doogs	Ameriprise Financial Services, Inc.
Daniel Paul Doogs	IDS Financial Services Inc.
Daniel A. Dupont	Santander Securities LLC
Daniel A. Dupont	Mutual of Omaha Investor Services, Inc.
Mariam Gabashvili	J.P. Morgan Securities LLC
Albert Sidney Gersh	LPL Financial LLC
Albert Sidney Gersh	Morgan Stanley DW Inc.
Robert Norman Greco	Morgan Stanley
Bettye Clements Hays	Principal Securities, Inc.
Bettye Clements Hays	Princor Financial Services Corporation
John Kaleihiehie Kai	First Allied Securities, Inc.
John Kaleihiehie Kai	Commonwealth Financial Network
David Russell Kondracke	Merrill Lynch, Pierce, Fenner & Smith Inc
David Russell Kondracke	Advest, Inc.
Danielle Lamb
Chea Anetta Ledbetter
Jacob Richard Luithle	Pruco Securities, LLC
Jacob Richard Luithle	NYLife Securities LLC


Sampson Pearson Jr.	Northwestern Mutual Investment Services, LLC
Sampson Pearson Jr.	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
Matthew Patrick Seemann	Morgan Stanley Smith Barney
Matthew Carl Shepard	Securian Financial Services, Inc.
Matthew Carl Shepard	Wealthspan Financial Group
Elizabeth Eunyoung Skillman	LPL Financial LLC
Elizabeth Eunyoung Skillman	TD Ameritrade, Inc.
Maria Nancy Tamburro	Ameriprise Financial Services, Inc.
Bethany Chanel Thompson	Foresters Financial Services, Inc.
Matthew D. Webster	Wells Fargo Advisors, LLC
Matthew D. Webster	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.

Registered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules

December 1, 2017 | Silver Law Group

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
Nicholas Esteban Arango	Rockwell Global Capital LLC
Leonardo S. Araujo	TD Ameritrade, Inc.
Leonardo S. Araujo	Edward Jones
Michael Biggs	Bank of America, N.A.
Michael Biggs	Merrill Lynch, Pierce, Fenner & Smith Inc
Shawn Evan Burns	Salomon Whitney Financial
Shawn Evan Burns	Cape Securities Inc.
Brian M. Cain	Edward Jones
Brian M. Cain	Primevest Financial Services, Inc.
Jaime Renato Cerda
Steven Gary Dash	Hallmark Investments, Inc.
Steven Gary Dash	GunnAllen Financial, Inc.
Diane Lee Dubshinski	Cape Securities Inc.
Diane Lee Dubshinski	1^st Discount Brokerage, Inc.
Kristopher A. Galicia Rodriguez	NYLife Securities LLC
Yohandy Gonzalez	J.P. Morgan Securities LLC
Yohandy Gonzalez	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
Dale Anne Luce	UBS Financial Services Inc.
Susan V. Magann
Kenneth Paul Mulvaney	MHA Financial Corp
Marc Harold Pearl	Wells Fargo Advisors, LLC
Marc Harold Pearl	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
Robert C. Tsai	TD Ameritrade, Inc.
Victoria Anne VanDyke	Corinthian Partners, LLC
Victoria Anne VanDyke	Matrix U.S.A., LLC
Rosa Alicia Vazquez	Integrity Brokerage Services, Inc.
Rosa Alicia Vazquez	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.

In October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules

December 1, 2017 | Silver Law Group

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

FINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules

December 1, 2017 | Silver Law Group

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.
Robert William Griffin	Cornerstone Investment Services
Stephen Allen Holmes	Voya Financial Advisors, Inc.
Stephen Allen Holmes	Ameriprise Financial Services, Inc.
Khalil, Adham Shafik	Allstate Financial Services, LLC
Kipp, Stephen Joseph	NPB Financial Group, LLC
Kipp, Stephen Joseph	National Planning Corporation
Craig Gary Langweiler	Windsor Street Capital, LP
Craig Gary Langweiler	Meyers Associates LP
Caeron Arlington McClintock	Spartan Capital Securities, LLC
Caeron Arlington McClintock	Legend Securities, Inc.
Christine Doreen Memet	PNC Investments
Christine Doreen Memet	Chase Investment Services Corp.
Lawrence Lee Olivas Jr.	Wells Fargo Advisors
Monica Jean O’Neill	Mutual of Omaha Investor Services, Inc.
Monica Jean O’Neill	Thrivent Investment Management Inc.
Vanessa Beth-Anne Reeves-Farry	J.P. Morgan Securities LLC
Vanessa Beth-Anne Reeves-Farry	Chase Investment Services Corp.
Casey Thomas Rodriguez	Arive Capital Markets
Casey Thomas Rodriguez	Chelsea Financial Services
Jessica Rene Sewell
Clint Herrison Stoffels	UBS Financial Services Inc.
Anaida Tashchyan	J.P. Morgan Securities LLC
Anaida Tashchyan	Chase Investment Services Corp.
Harvey Alan Weisenfeld	Allstate Financial Services, LLC
Harvey Alan Weisenfeld	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.

FINRA Suspends Registered Individuals in September 2017 for Violations of FINRA Rules

November 30, 2017 | Silver Law Group

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.
Woodley Hannon Bagwell	Morgan Keegan & Company, Inc.
Helle Romer Bannister	J.P. Morgan Securities LLC
Helle Romer Bannister	HighTower Securities, LLC
Sonya Michelle Brown
Jason Harry Buchanan	Morgan Stanley Smith Barney
Jason Harry Buchanan	Citigroup Global Markets Inc.
Daniel P. Capeless	FBR Capital Markets & Co.
Donald William Chupp	J.P. Morgan Securities LLC
Donald William Chupp	Chase Investment Services Corp.
Wesley Claflin	Merrill Lynch, Pierce, Fenner & Smith Inc.
Brett Allen DeFore	Raymond James & Associates, Inc.
Brett Allen DeFore	Morgan Keegan & Company, Inc.
Theophilus K. Denanyoh
Daniel Paul Doogs	Ameriprise Financial Services, Inc.
Daniel Paul Doogs	IDS Life Insurance Company
Daniel A. Dupont	Santander Securities LLC
Daniel A. Dupont	Mutual of Omaha Investor Services, Inc.
John Charles Epting, Jr.	Transamerica Financial Advisors, Inc.
John Charles Epting, Jr.	World Group Securities, Inc.
Mark Joseph Flanagan	Citigroup Global Markets Inc.
Mark Joseph Flanagan	Wells Fargo Advisors, LLC
Edward Kenneth Frost	Western International Securities, Inc.
Edward Kenneth Frost	GBS Financial Corp.
Mariam Gabashvili	J.P. Morgan Securities LLC
Charles Edwin Garrison	Davenport & Company LLC
Charles Edwin Garrison	First Union Securities, Inc.
Albert Sidney Gersh	LPL Financial LLC
Albert Sidney Gersh	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.
John Kaleihiehie Kai	Commonwealth Financial Network
Chea Anetta Ledbetter
Matthew M. McDonagh	Osprey Partners LLC
Matthew M. McDonagh	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
Sampson Pearson, Jr.	Robert W. Baird & Co. Inc
Craig Allan Price	Raymond James Financial Services, Inc.
Craig Allan Price	Craig A. Price LLC
Frank Blaise Anthony Restifo, Jr.	The Huntington Investment Company
Carlos Antonio Rodriguez	UBS Financial Services Inc.
Carlos Antonio Rodriguez	Merrill Lynch, Pierce, Fenner & Smith Inc
Matthew Carl Shepard	Securian Financial Services, Inc.
Matthew Carl Shepard	Carty & Company, Inc.
Mark Eliot Silverman	MML Investors Services, LLC
Mark Eliot Silverman	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
John Anthony Vedovino	HFP Capital Markets LLC
Matthew D. Webster	Wells Fargo Advisors, LLC
Matthew D. Webster	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.

September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules

November 30, 2017 | Silver Law Group

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.

FINRA Bars Registered Individuals in September 2017 for Failure to Comply with FINRA Rules

November 30, 2017 | Silver Law Group

According to FINRA Disciplinary actions for September 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
Kellye C. Allison	State Farm VP Management Corp.
Timothy David Ballard	Securities America, Inc.
Timothy David Ballard	National Planning Corporation
Damani A. Barham	Morgan Stanley
Damani A. Barham	TD Ameritrade, Inc.
Kelley Macon Barham, Jr.
Devin Barkley	MetLife Investors Distribution Company
Devin Barkley	MetLife Securities, Inc.
Wilbert Norman Belizaire, Jr.
Charles A. Black	Lincoln Financial Advisors Corporation
Charles A. Black	The Lincoln National Life Insurance Company
Steven Eugene Bonner	Principal Securities, Inc.
Steven Eugene Bonner	Allied Financial Network Insurance Services, LLC
Alexi Nahun Bustamante	J.P. Morgan Securities LLC
Alexi Nahun Bustamante	Wells Fargo Advisors, LLC
Juliana Castaneda
Andrey Chekalin	NYLife Securities LLC
Andrey Chekalin	Eagle Strategies LLC
Salvatore Joseph Cipriano	Pruco Securities LLC
Salvatore Joseph Cipriano	Laidlaw & Company (UK) Ltd.
Thomas Eric Constable	ADP Broker-Dealer, Inc.
Darnell Anthony Deans	BlackBook Capital, LLC
Darnell Anthony Deans	John Carris Investments LLC
Jeffrey Edward Ermi	Wells Fargo Advisors LLC
Jeffrey Edward Ermi	Banc of America Investment Services, Inc.
Lee Edward Farmer	Wells Fargo Advisors, LLC
Lee Edward Farmer	AG Edwards & Sons, Inc.
Arsola Feransou
Joshua Adam Frederico
Kevin Grewal	Keystone Capital Corporation
Fawad Hasan	Wells Fargo Clearing Services, LLC
Derrick Franklin Howard	Allstate Financial Services, LLC
Christopher Lowell Jackson	Allstate Financial Services, LLC
Jamar Darcel Jenkins	Wells Fargo Advisors, LLC
Molly M. Jury	Merrill Lynch, Pierce, Fenner & Smith Inc.
Sean David Kaplan	Merrill Lynch, Pierce, Fenner & Smith Inc.
Sean David Kaplan	Comprehensive Asset Management and Servicing, Inc.
Ronald Frances Konchalski	Farmers Financial Solutions, LLC
Ronald Frances Konchalski	Allstate Financial Services, LLC
Robert Kenneth Lindell	Richfield Orion International, Inc.
Robert Kenneth Lindell	Revere Securities Corp.
Cameron Blake Lovitt	Edward Jones
Nicholas Henry Millas
Christian A. Paul	Worth Financial Group Inc.
Christian A. Paul	Merrill Lynch, Pierce, Fenner & Smith Inc.
Gregory David Pryce	Invest Financial Corporation
Gregory David Pryce	TFS Securities, Inc.
Ernest Julius Romer, III	Corecap Investments, Inc.
Ernest Julius Romer, III	L.M. Kohn & Company
Donald John Saccamano	Source Capital Group, Inc.
Donald John Saccamano	Janney Montgomery Scott LLC
Paul Edward Seaward	Foresters Financial Services, Inc.
Paul Edward Seaward	First Investors Corporation
Michael Allen Sparks	J.J.B. Hilliard, W.L .Lyons, LLC
Michael Allen Sparks	DMG Securities, Inc.
Jennifer Anne Spencer	Fidelity Brokerage Services LLC
Jennifer Anne Spencer	TIAA-CREF Individual & Institutional Services, LLC
Jordan Robert Tait	Farmers Financial Solutions, LLC
Bethany Chanel Thompson	Foresters Financial Services, Inc.
Christopher John Tiernan	Farmers Financial Solutions, LLC
Juan Ramon Uriarte, Jr.	J.P. Morgan Securities LLC
Hung Quoc Vu	J.P. Morgan Securities LLC
Hung Quoc Vu	Chase Investment Services Corp.
Julie Ann Wells
Becky Woo	Citigroup Global Markets Inc.
Becky Woo	HSBC Securities (USA) 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.