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Public Justice

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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.

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Silver Law Group, a nationally-recognized class action law firm representing shareholders, is investigating Sculptor Capital Management (SCU) regarding its sale to Rithm Capital Corp and potential breach of fiduciary duty claims against the board of directors of Sculptor. If you own shares of Sculptor Capital Management (SCU), Silver Law Group would like to hear from you. Contact us today for a consultation at 800-975-4345. Sculptor Capital Corp (SCU) Agrees To Acquisition By Rithm Capital In July, 2023 Sculptor Capital Management and Rithm Capital Corp announced that they had reached an agreement in principle for Rithm to acquire Sculptor Capital. The merger is expected to pay Sculptor Capital $11.15 cash for each Class A share of the company.Silver Law Group, a nationally-recognized class action law firm representing shareholders, is investigating Sculptor Capital Management (SCU) regarding its sale to Rithm Capital Corp and potential breach of fiduciary duty claims against the board of directors of Sculptor.

If you own shares of Sculptor Capital Management (SCU), Silver Law Group would like to hear from you. Contact us today for a consultation at 800-975-4345. Continue reading ›

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Structured notes are a lesser-known investment vehicle for individual retail investors. These are hybrid-style investments that combine several different types of investments based on something else, such as the S&P 500, interest rates, commodities, foreign currency exchanges, or one or more securities. An investor’s return is linked to this outside element, making them “derivative” investments instead of direct ones. Issued by financial institutions and sold to investors by broker-dealers, structured notes have two elements, the embedded derivative, and a bond element. The note’s returns will depend on the repayment of the underlying bond by the issuer, and a premium paid based on the linked asset. The return on a structured note depends on the issuer repaying the underlying bond and paying a premium based on the linked asset.Structured notes are a lesser-known investment vehicle for individual retail investors. These are hybrid-style investments that combine several different types of investments based on something else, such as the S&P 500, interest rates, commodities, foreign currency exchanges, or one or more securities. Continue reading ›

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In another piece of the puzzle that is GWG Holdings, the SEC is also investigating its subsidiary, the Dallas, Texas-based investment company Beneficient. Begun by founder Brad Heppner, the intent was to bring “mom-and-pop” investors the same types of opportunities normally afforded to larger investors. Much like GWG, Beneficient also led to failures that cost investors billions, and included a possible Ponzi scheme that primarily benefited Heppner according to the Wall Street Journal.In another piece of the puzzle that is GWG Holdings, the SEC is also investigating its subsidiary, the Dallas, Texas-based investment company Beneficient. Begun by founder Brad Heppner, the intent was to bring “mom-and-pop” investors the same types of opportunities normally afforded to larger investors.

Much like GWG, Beneficient also led to failures that cost investors billions, and included a possible Ponzi scheme that primarily benefited Heppner according to the Wall Street Journal. Continue reading ›

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Scott Silver, Silver Law Group’s managing partner and co-chair of the Securities and Financial Fraud Group of American Association for Justice (AAJ), gave a presentation on how to recover damages in elder financial abuse cases at the annual convention of the AAJ in Philadelphia in July, 2023. AAJ is an advocacy group that promotes a fair and effective justice system. Scott’s presentation to AAJ noted that the baby boomer generation, those born in the two decades after the end of World War II, are the richest generation on the planet with an average worth of $1.2M. 10,000 people in the U.S. turn 65 each day, and 5% of them will be victims of financial exploitation.Scott Silver, Silver Law Group’s managing partner and co-chair of the Securities and Financial Fraud Group of American Association for Justice (AAJ), gave a presentation on how to recover damages in elder financial abuse cases at the annual convention of the AAJ in Philadelphia in July, 2023. AAJ is an advocacy group that promotes a fair and effective justice system. Continue reading ›

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Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously  employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been in the industry since 1996. On July 28, the SEC announced that it has filed fraud charges against Saw in a $2.4 million case of misappropriation. The SEC’s complaint alleges that Saw “engaged in a fraudulent scheme” and drained the accounts of an elderly customer. Acting without customer consent, Saw liquidated all the customer’s assets and transferred the proceeds to her personal bank and brokerage accounts.Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously  employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been in the industry since 1996. Continue reading ›

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