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
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Public Justice

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According to FINRA Disciplinary actions for October 2023, 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
  David Burch   Raymond James & Associates, Inc.
  Morgan Stanley
  Timothy Claypool   Northwestern Mutual Investment Services, LLC
  Farmers Financial Solutions, LLC
  Ebony Parks   LPL Financial LLC
  Wells Fargo Clearing Services, LLC
  Rashawn Russell   Deutsche Bank Securities Inc.
  Daniel Santos   PFS Investments Inc.

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According to FINRA Disciplinary actions for September 2023, 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
  Laurence Allen   NYPPEX, LLC
  Northeast Securities, Inc.
  Joseph Desapio   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  DeVere Dudley   Raymond James Financial Services, Inc.
  Edward Jones
  Austin Dutton Jr.   American Trust Investment Services, Inc.
  PRIMEX
  Adam Ezrilov   LPL Financial LLC
  RBC Capital Markets, LLC
  Samuel Girgiss   Spartan Capital Securities, LLC
  Worden Capital Management LLC
  Dennis Hanrahan   Spartan Capital Securities, LLC
  John Thomas Financial
  Timothy Henry   Wells Fargo Clearing Services, LLC
  Credit Suisse Securities (USA) LLC
  Kenneth Klaiman   Raymond James & Associates, Inc.
  Deutsche Bank Securities Inc.
  Ramon Perez   Morgan Stanley
  UBS Financial Services Inc.
  David Sauer   BGC Financial, L.P.
  Morgan Stanley
  Michael Schunk   NYPPEX, LLC
  Commerce One Financial Inc.
  James Shelburne   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jamie Worden   Worden Capital Management LLC
  Salomon Whitney LLC

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According to FINRA Disciplinary actions for September 2023, 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
  Thomas Cole III   Charles Schwab & Co, Inc.
  Charles Connors   LPL Financial LLC
  Transamerica Financial Advisors, Inc.
  Andrew Grezlak   Cambridge Investment Research, Inc.
  Louis No   NYLife Securities LLC
  Chanda Park   Transamerica Financial Advisors, Inc.
  Heron Rattray Jr.   J.P. Morgan Securities LLC
  Chase Investment Services Corp.
  Merrill Richardson   Goldman Sachs & Co. LLC
  William Blair & Company LLC
  William Rodriguez
  Jessica Wade

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According to FINRA Disciplinary actions for September 2023, 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
  Michael Adinovich   Ameriprise Financial Services, LLC
  Ameriprise Advisor Services, Inc.
  Karla Moons   Concourse Financial Group Securities, Inc.
  Amsouth Investment Services, Inc.
  Kyle Steibel   CUNA Brokerage Services, Inc.
  Edward Jones
  Joseph Todaro   Network 1 Financial Securities Inc.
  SW Financial
  Jin Zhu   Morgan Stanley
  Key Investment Services LLC

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According to FINRA Disciplinary actions for August 2023, 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
  Dennis Ayre   Hilltop Securities Inc.
  Oppenheimer & Co. Inc.
  Bruce Davis   Wells Fargo Clearing Services, LLC
  J.P. Morgan Securities LLC
  Gail Milon   ELE Wealth Advisors, Inc.
  MSI Financial Services, Inc.
  Trevor Perry   Foreside Financial Services, LLC
  J.P. Morgan Institutional Investments Inc.
  Frank Weiss   Bankers Life Securities, Inc.
  Farmers Financial Solutions, LLC

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According to FINRA Disciplinary actions for August 2023, 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
  Davd Burch   Raymond James & Associates, Inc.
  Morgan Stanley
  Timothy Claypool   Northwestern Mutual Investment Services, LLC
  Farmers Financial Solutions, LLC
  Ebony Parks   LPL Financial LLC
  Wells Fargo Clearing Services, LLC
  Rashawn Russell   Deutsche Bank Securities Inc.
  Daniel Santos   PFS Investments Inc.
  Michael Solomon   Maxim Group LLC
  HFP Capital Markets LLC
  Bertram Unger   Edward Jones
  Pruco Securities, LLC
  Shane Wilhelm   Fortune Financial Services, Inc.
  Truist Investment Services, Inc.

Continue reading ›

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According to FINRA Disciplinary actions for August 2023, 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
  Joshua Lovings
  Harold Stephenson   LPL Financial LLC
  Herrmann Securities, Inc.

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Silver Law Group represents Northstar Financial Services (Bermuda) investors in claims to recover their investment losses. Brokers allegedly sold Northstar Bermuda to investors as a low risk alternative to CDs that protected their principal and guaranteed income. But the company is now in liquidation, leaving investors unable to access their funds.Silver Law Group represents Northstar Financial Services (Bermuda) investors on a contingency fee basis in claims to recover their investment losses. Brokers allegedly sold Northstar Bermuda to investors as a low risk alternative to CDs that protected their principal and guaranteed income. But the company is now in liquidation, leaving investors unable to access their funds. Continue reading ›

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Investors with money in some of financier Greg Lindberg’s many companies, including Northstar Financial Services (Bermuda), have suffered significant harm as billions of investor dollars are frozen and liquidation and litigation drag on. Ultimatelly, investors are not expected to recover a significant amount of money. Lindberg was criminally charged by the US Department of Justice and the State of North Carolina. His first trial ended with a conviction and sentence of seven years in prison, but the verdict was reversed after he spent 633 days in prison. He wrote a book on his prison stint, that included the words “633 Days” in the title, and discussed his “wrongful conviction.” One of the eight reviews on Amazon is from a reviewer who was defrauded by Lindberg and demands his money back.Investors with money in some of financier Greg Lindberg’s many companies, including Northstar Financial Services (Bermuda), have suffered significant harm as billions of investor dollars are frozen and liquidation and litigation drag on. Ultimatelly, investors are not expected to recover a significant amount of money.

Lindberg was criminally charged by the US Department of Justice and the State of North Carolina. His first trial ended with a conviction and sentence of seven years in prison, but the verdict was reversed after he spent 633 days in prison. He wrote a book on his prison stint, that included the words “633 Days” in the title, and discussed his “wrongful conviction.” One of the eight reviews on Amazon is from a reviewer who was defrauded by Lindberg and demands his money back.

Continue reading ›
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