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Public Justice

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An investor has filed a Class Action Complaint against Wells Fargo in the Northern District of California alleging that Wells Fargo failed to pay the highest-available interest rate on the cash balance in customer accounts. The Class Action Complaint, filed July 31, 2024, alleges that Wells Fargo breached its fiduciary duties to customers, breached its contract with certain accountholders, and was unjustly enriched via the alleged misconduct.An investor has filed a Class Action Complaint against Wells Fargo in the Northern District of California alleging that Wells Fargo failed to pay the highest-available interest rate on the cash balance in customer accounts.

The Class Action Complaint, filed July 31, 2024, alleges that Wells Fargo breached its fiduciary duties to customers, breached its contract with certain accountholders, and was unjustly enriched via the alleged misconduct. Continue reading ›

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Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma'on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. FINRA investigated after receiving the Form U5 sent in by Raymond James after they allowed Adams to voluntarily resign on 10/7/21. This followed allegations that Adams “may have misappropriated assets” from a client’s estate while previously acting as an executor for the estate. FINRA received the Form U5 on November 5, 2021, and sent a letter to Adams on December 22, 2023.Marion Adams III (Marion Strickler Adams CRD# 1392435, aka “Ma’on Adams”) is a previously registered broker and investment advisor whose last employer was The Jeffrey Matthews Financial Group, L.L.C. (CRD# 41282) of Mobile, AL. His prior employers were Raymond James & Associates, Inc. (CRD# 705) and Morgan Keegan & Company, Inc. (CRD# 4161), also of Mobile. Adams has been in the industry since 1985. Continue reading ›

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Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996. Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm.Paul Trimber (Paul Francis Trimber CRD# 2765260) is a former broker and investment advisor last employed with Wells Fargo Clearing Services, LLC (CRD# 19616) of Alexandria, VA. He was previously employed by Prudential Securities Incorporated (CRD# 7471) of New York, NY. He has been in the industry since 1996.

Trimber was discharged by Wells Fargo on 2/21/2024 after “he admitted during review to making unauthorized transfers of client funds to recipients outside of the Firm.” No additional information is available from the firm. Continue reading ›

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Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000. Sosa was “permitted to resign” from Sagepoint (now Osaic Services, Inc.) on 7/8/2022 when the firm discovered that he had been named contingent beneficiary and successor trustee to a client’s living trust document in their file. This violated Sagepoint’s policies and procedures. However, Sosa stated that he was unaware of these designations. The firm found no evidence that Sosa had acted as a trustee or received any benefit from the client's trust.Juan Sosa (Juan Carlos Sosa CRD# 4059846) is a former registered broker and investment advisor. His most recent employment was with Independent Financial Group, LLC (CRD# 7717) of Studio City, CA. His previous employers were Sagepoint Financial, Inc. (CRD# 133763), also of Studio City, Sunamerica Securities, Inc. (CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. (CRD# 599) of Irvine, CA.  He has been in the industry since 2000. Continue reading ›

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Eugene Thompson (Eugene Cebron Thompson IV CRD# 4350479, aka Bron Thompson, EC Thompson IV) is a registered broker and investment advisor currently employed with Capital Investment Group, Inc. (CRD# 14752) of Dunn, NC. He was previously employed with Wells Fargo Advisors, LLC (CRD# 19616) of Wilmington, NC, as both a broker and investment advisor. He has been in the industry since 2001. Thompson has five disclosures on his CRD, four of which stem from client investments in GWG Holdings L-Bonds. Two were filed on 2/29/2024, and are currently pending: Client requests damages of $200,000, alleging violation of Regulation Best Interest, including breach of contract, breach of fiduciary duty, negligence, negligent representation, and failure to supervise. Client requests damages of $ $336,002.44, alleging violations of the NC Securities Act, as well as unfair or deceptive trade practices, fraudulent representation and breach of fiduciary duty.Eugene Thompson (Eugene Cebron Thompson IV CRD# 4350479, aka Bron Thompson, EC Thompson IV) is a registered broker and investment advisor currently employed with Capital Investment Group, Inc. (CRD# 14752) of Dunn, NC. He was previously employed with Wells Fargo Advisors, LLC (CRD# 19616) of Wilmington, NC, as both a broker and investment advisor. He has been in the industry since 2001. Continue reading ›

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According to FINRA Disciplinary actions for June 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
  Gerald Cocuzzo   Newbridge Securities Corporation
  IAA Financial LLC
  Kevin Hobbs   PFS Investments Inc.
  James Myers   NYLife Securities LLC
  Kenneth Schaefer   Ameriprise Financial Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated

Continue reading ›

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According to FINRA Disciplinary actions for June 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
  Shoaib Qureshi   J.P. Morgan Securities LLC
  First Republic Securities Company, LLC
  Annie Simons

Continue reading ›

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According to FINRA Disciplinary actions for June 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
  James Brown   American Independent Securities Group, LLC
  Edward Jones
  Chun Elmejjad   Equitable Advisors, LLC
  Sylviah Kemunto
  Jonathan Long   Cambridge Investment Research, Inc.
  Cetera Financial Specialists LLC
  Thomas Prieur   Lincoln Financial Advisors Corporation
  Carlos Ramirez   Citizens Securities, Inc.
  Key Investment Services LLC
Shaquane Smith-Thompson   J.P. Morgan Securities LLC

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Silver Law Group’s managing partner Scott Silver was interviewed by Investment News for a news article about the SEC revoking the license of Lufkin Advisors of San Mateo, California. The license was revoked after its president and chief compliance officer, Chauncey Forbush Lufkin, III, was charged with fraudulent contact related to crypto assets and private funds. “Nobody knows what’s happening internally in these pooled funds at the retail level. How are these firms really managing these types of funds? It’s a recipe for disaster,” Scott said. Lufkin Advisors managed $115.8 million in client assets and operated three pooled investment vehicles, as reported in their latest Form ADV. These pooled funds, which combine capital from multiple investors, have raised concerns among some financial professionals regarding their suitability for retail investors. The primary issue stems from the potential difficulty in tracking and accounting for individual contributions within these collective investment structures.Silver Law Group’s managing partner Scott Silver was interviewed by Investment News for a news article about the SEC revoking the license of Lufkin Advisors of San Mateo, California. The license was revoked after its president and chief compliance officer, Chauncey Forbush Lufkin, III, was charged with fraudulent contact related to crypto assets and private funds.

“Nobody knows what’s happening internally in these pooled funds at the retail level. How are these firms really managing these types of funds? It’s a recipe for disaster,” Scott said. Continue reading ›

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The SEC recently released a new investor alert detailing ways that investors can be lured into new frauds involving crypto assets with both new and old techniques. Online scams are still the predominant method. But the addition of AI adds a false sense of believability that can make even tech-savvy individuals vulnerable. Silver Law Group is a national investment fraud law firm with significant experience helping crypto investors recover losses due to fraud through federal court litigation, finra arbitration and SEC whistleblower claims. Whatever method they use to convince you, the investor, to give them money, the result is the same: your money has likely been stolen by someone disguising their identity.The SEC recently released a new investor alert detailing ways that investors can be lured into new frauds involving crypto assets with both new and old techniques. Online scams are still the predominant method. But the addition of AI adds a false sense of believability that can make even tech-savvy individuals vulnerable.

Silver Law Group is a national investment fraud law firm with significant experience helping crypto investors recover losses due to fraud through federal court litigation, finra arbitration and SEC whistleblower claims. Continue reading ›

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