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

|

Blog-Graphics1Silver Law Group founder Scott Silver was recently interviewed by Investment News for an article about Henry Duval, formerly known as “Roger Allen Duvall.” Duvall was barred by FINRA in 2020 after it found he was selling away and misappropriating funds while associated with MML and Pruco, two former employers. Continue reading ›

|

Silver Law Group’s managing partner Scott Silver discussed a recent ruling from a California court that gave two brokers a temporary restraining order (TRO) against FINRA in arbitration over their sales of GHG Holdings’ illiquid L-Bonds.  “This appears to be a Hail Mary pass by two brokers who are taking a ‘never say die’ approach to arbitration,” Scott said in a recent AdvisorHub article. "In this case, FINRA's position is correct, straightforward, and investor friendly."Silver Law Group’s managing partner Scott Silver discussed a recent ruling from a California court that gave two brokers a temporary restraining order (TRO) against FINRA in arbitration over their sales of GWG Holdings’ illiquid L-Bonds.

“This appears to be a Hail Mary pass by two brokers who are taking a ‘never say die’ approach to arbitration,” Scott said in a recent AdvisorHub article. “In this case, FINRA’s position is correct, straightforward, and investor friendly.” Continue reading ›

|

According to FINRA Disciplinary actions for November, 2024, 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
Helen Andrews Morgan Stanley
Barclays Capital Inc.
Vincent Fuchs Steward Partners Investment Solutions, LLC
Raymond James Financial Services, Inc.
Wentworth Gardner CUNA Brokerage Services, Inc.
AXA Advisors, LLC
Colton Jacob Steward Partners Investment Solutions, LLC
Raymond James Financial Services, Inc.
Gail Milon ELE Wealth Advisors, Inc.
MSI Financial Services, Inc.
Michael Paesano Morgan Stanley
UBS Financial Services Inc.
David Page Spartan Capital Securities, LLC
SW Financial
Any Zwaan LPL Financial LLC
Wealthplan Partners

Continue reading ›

|

According to FINRA Disciplinary actions for November 2024, 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. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
Juan Gomez
James Easter Independent Financial Group, LLC
NPB Financial Group, LLC
Janelle English
Sara Jankowski Stifel, Nicolaus & Company, Incorporated
City Securities Corporation
David Love LaSalle St Securities, LLC
ICMA-RC Services, LLC
James Marrero American Portfolios Financial Services, Inc.
BCG Securities, Inc.
Luis Castanon J.P. Morgan Securities LLC
Michael Russo Spartan Capital Securities, LLC
Craft Capital Management LLC

Continue reading ›

|

According to FINRA Disciplinary actions for November 2024, 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
Zev Bishop Raymond James Financial Services, Inc.
Juan Gauna NYLife Securities LLC
Gauna Financial services, LLC
Timothy Jefferson Aegis Capital Corp.
Ameriprise Financial Services, LLC
Mariah Nagy J.P. Morgan Securities LLC
Barak Rebibo J.P. Morgan Securities LLC
Courtney Smith Spire Securities, LLC
Hightower Securities, LLC
Daniel Turner Vanguard Marketing Corporation

Continue reading ›

|

Alan Mason (CRD# 1302190, a/k/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods & Co. LTD. (CRD# 13660) of New York, NY.  His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984. During Mason’s employment with Westpark Capital in July of 2020, he recommended to one client that she invest 20% of her liquid net worth into the speculative and risky GWG Holdings L-Bonds. The investment was not in the customer’s best interest based on her investment profile and goes against Regulation Best Interest.Alan Mason (CRD# 1302190, a/k/a Alan M Mason, Alan Mark Mason, Alan Mason) is a registered broker and previously registered investment advisor currently registered with Bradley Woods & Co. LTD. (CRD# 13660) of New York, NY.  His most recent previous employers include Westpark Capital, Inc. (CRD# 39914), Wilmington Capital Securities, LLC (CRD# 133839), and Forefront Capital Markets, LLC (CRD# 151812), all of New York, NY. He has been in the industry since 1984. Continue reading ›

|

Ariel Rivero (CRD# 4236679, a/k/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer & Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.  He has been in the industry since 2000. Rivero was recently suspended for six months and fined $15,000 for multiple violations of firm, FINRA and SEC policies. In its investigation, FINRA found that Rivero was using WhatsApp for firm-related communications with clients, including a conversation with a customer (also his former brother-in-law) that occurred in April of 2021. In that conversation, the customer complained to Rivero about $300,000 in losses he suffered from non-traditional exchange traded funds purchased from Rivero.Ariel Rivero (CRD# 4236679, a/k/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer & Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.  He has been in the industry since 2000. Continue reading ›

|

Sean Mostero (Sean Francis Mostero CRD# 6447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. Mostero has four disclosures in his CRD. The first was on 2/29/2024, where he was terminated by Alessandra Capital Management, LLC (CRD# 123305), also of Torrance. The company stated that Mostero “abandoned” his job at Alessandra and refused to cooperate with the firm’s requests for information regarding a complaint about his professional conduct.Sean Mostero (Sean Francis Mostero CRD# 6447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. Continue reading ›

|

Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. M. Kohn discharged Rahman on 10/9/2023 after the discovery that he was engaged in outside business activities (OBA) with a 78-year-old client during his previous employment at Merrill, Lynch.Imdadur Rahman (CRD# 2476187, a/k/a Gino Rahman) is a former registered broker and investment advisor last employed with L.M. Kohn & Company (CRD# 27913) of Troy, MI. His previous employers were Merrill Lynch, Pierce, Fenner & Smith, Incorporated (CRD# 7691) of Bloomfield Hills, MI, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, Dean Witter Reynolds Inc. (CRD# 7556) of Purchase, NY, and Montano Securities Corporation (CRD# 7887) of Orange, CA. He has been in the industry since 1994. 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

California Consumer Privacy Act (CCPA) Opt-Out IconYour Privacy Choices Cookie Policy Manage Cookies

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 © 2026, Silver Law Group
JUSTIA Law Firm Blog Design