A National Securities Arbitration & Investment Fraud Law Firm

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Securities Arbitration Attorneys Our FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct.
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Silver Law Group has filed a FINRA arbitration claim to help a client recover more than $200,000 that was lent to his broker and never repaid.  Our client is a senior citizen living in Florida who was seeking to secure his nest egg for the future by investing for long-term growth with moderate risk. A close personal friend referred our client to his broker, who at the time was a financial advisor at a leading investment firm.Silver Law Group has filed a FINRA arbitration claim to help a client recover more than $200,000 that was lent to his broker and never repaid.

Our client is a senior citizen living in Florida who was seeking to secure his nest egg for the future by investing for long-term growth with moderate risk. A close personal friend referred our client to his broker, who at the time was a financial advisor at a leading investment firm. Continue reading

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GPB Capital investors are suffering catastrophic losses on their investments. GPB has reduced the valuations of their portfolio and investor complaints against selling brokers continue to pile up.GPB Capital investors are suffering catastrophic losses on their investments. GPB has reduced the valuations of their portfolio and investor complaints against selling brokers continue to pile up.

GPB Capital includes the following funds:

  • GPB Cold Storage
  • GPB Automotive Fund
  • GPB Automotive Income
  • GPB Holdings II and III
  • GPB Waste Management
  • GPB NY Development

Continue reading

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Beyond Meat (BYND) is one of the most expensive stocks to short as the borrowing fees are more than 100%. The cost of shorting the producer of plant-based meat substitutes can be almost double the cost of shorting other stocks.  The stock price for Beyond Meat has risen by more than 300% since its IPO in May, 2019, though the company has yet to make a profit. Many investors are bearish on the company.Beyond Meat (BYND) is one of the most expensive stocks to short as the borrowing fees are more than 100%. The cost of shorting the producer of plant-based meat substitutes can be almost double the cost of shorting other stocks.

The stock price for Beyond Meat has risen by more than 300% since its IPO in May, 2019, though the company has yet to make a profit. Many investors are bearish on the company. Continue reading

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Maxar Technologies Ltd (MAXR), a publicly-traded space technology company, is the subject of a class action lawsuit filed on behalf of investors who lost money investing in the company. If you lost money in Maxar Technologies or DigitalGlobal, we would like to talk to you. MDA DigitalGlobe Merger Maxar Technologies was created in October, 2017 with the merging of DigitalGlobe and MDA Holdings.Maxar Technologies Ltd (MAXR), a publicly-traded space technology company, is the subject of a class action lawsuit filed on behalf of investors who lost money investing in the company. If you lost money in Maxar Technologies or DigitalGlobe, we would like to talk to you.

MDA DigitalGlobe Merger

Maxar Technologies was created in October, 2017 with the merging of DigitalGlobe and MDA Holdings. Continue reading

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On August 29, 2019, the SEC (Securities and Exchange Commission) announced an award of over $1.8 million for a whistleblower “whose information and assistance were critically important to the success of an enforcement action involving misconduct committed overseas.” According to a press release from the SEC, the whistleblower alerted the agency to the violations and helped greatly during the investigation. The whistleblower, who was not identified, gave sworn testimony, reviewed documents, and gave ongoing new information that helped move the investigation forward.On August 29, 2019, the SEC (Securities and Exchange Commission) announced an award of over $1.8 million for a whistleblower “whose information and assistance were critically important to the success of an enforcement action involving misconduct committed overseas.”

According to a press release from the SEC, the whistleblower alerted the agency to the violations and helped greatly during the investigation. The whistleblower, who was not identified, gave sworn testimony, reviewed documents, and gave ongoing new information that helped move the investigation forward. Continue reading

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While some investors may find short selling stocks to be appropriate to their investment needs, there are considerable risks involved, and some broker-dealers have been accused of overcharging clients for borrowing stock to short. What Is Short Selling? To short sell a stock (also known as going short) is to make an investment that becomes profitable when the stock declines in value. It’s the opposite of “going long”, which is buying a stock, and making profit when it goes up in price.While some investors may find short selling stocks to be appropriate to their investment needs, there are considerable risks involved, and some broker-dealers have been accused of overcharging clients for borrowing stock to short.

What Is Short Selling?

To short sell a stock (also known as going short) is to make an investment that becomes profitable when the stock declines in value. It’s the opposite of “going long”, which is buying a stock, and making profit when it goes up in price. Continue reading

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CannTrust (CTST), a publicly-traded producer of medical and recreational cannabis in Canada, is the subject of a class action lawsuit filed on behalf of shareholders who lost money investing in the company. On July 8, 2019, news broke that CannTrust was growing cannabis in a greenhouse in Pelham, Ontario where regulatory approval was still pending. Holds were placed on the company’s inventory, and CannTrust says this will cause a product shortage. Analysts downgraded the stock.CannTrust (CTST), a publicly-traded producer of medical and recreational cannabis in Canada, is the subject of a class action lawsuit filed on behalf of shareholders who lost money investing in the company.

On July 8, 2019, news broke that CannTrust was growing cannabis in a greenhouse in Pelham, Ontario where regulatory approval was still pending. Holds were placed on the company’s inventory, and CannTrust says this will cause a product shortage. Analysts downgraded the stock. Continue reading

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According to FINRA Disciplinary actions for July 2019, 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

  Bender, Charles III   Suntrust Investment Services, Inc
  JP Morgan Securities LLC
  Bingham, Daniel   Essex Securities LLC
  Investors Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities, Inc
  D’Meo, James   Kenneth, Jerome & Co, Inc
  Equity Services, Inc
  Gallacher, David   LPL Financial LLC
  AG Edwards & Sons Inc
  Giraldo, Jose   Merrill Lynch, Pierce, Fenner & Smith Inc
  David Lerner Associates
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Gurrola, Kenneth   Muriel Siebert & Co., Inc
  Kaufman Bros, LP
  Harris, Adrianna   Charles Schwab & Co., Inc
  Hose, Audrey   UBS Financial Services Inc
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services, Inc
  Laishes, Brian   Investacorp, Inc
  Commonwealth Financial Network
  May, Timothy   One America Securities, Inc
  Signator Investors, Inc
  Noto, Philip   First Standard Financial Company
  Alexander Capital, LP
  Saljooki, Yousuf   Worden Capital Management LLC
  SW Financial
  Scarfone, Bryce   HSBC Securities
  Siegel, Craig   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Roger Takami   Voya Financial Advisors, Inc
  LPL Financial Corporation
  Thurman, Purnell   Park Avenue Securities LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors, Inc
  Kestra Investment Services, LLC
  Zhang, Xtangyu   Wells Fargo Clearing Services, LLC
  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 July 2019, 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

  Bang, Gregory   NYLIfe Securities LLC
  Block, Gabriel   First Standard Financial Company
  National Securities Corporation
  Cardwell, Harlan III   Prospera Financial Services, Inc
  Oxford Financial Group
  Duchan, Patricia   UBS Financial Services Inc
  Golan, Rafael   Crystal Bay Securities Inc.
  Independent Financial Group, LLC
  Kane, Jordan   Citizens Securities, Inc
  Martinez, Joseph   Pruco Securities, LLC
  The Prudential Insurance Company of America
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities, Inc
  Weldon, Benjamin   State Farm VP Management Corp

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

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 July 2019, 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
  Deblois, Matthew   The Champion Group, Inc
  McNally Financial Services Corp
  Dewaay, Donald Jr.   Dewaay Financial Network, LLC
  VSR Financial Services, Inc
  Freeman, Michael   Spartan Capital Securities, LLC
  Legend Securities, Inc
  Fuzie, Cindy   Morgan Stanley
  MML Investors Services, LLC
  Hernandez, Evelyn   Morgan Stanley
  Chase Investment Services
  Barry, Jin   Spartan Capital Securities, LLC
  Lampert Capital Markets Inc
  LaVolpe, Michael   Meyers Associates, LP
  Leonard, William   JH Darbie & Co, Inc
  BMS Securities, LLC
  Walsworth, Peter   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith 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.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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