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Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020) of Tarzana, CA. He has been in the industry since 2002.  Kennedy was discharged by Western International on 8/27/2021 with cause, “Clients have alleged unauthorized options trading and failure to adhere to discretionary options sales orders.” No additional information is available. However, Kennedy’s CRD includes ten customer disputes dated from 9/10/2021 through 6/9/2022. Of the ten, seven are settled, and three are listed as “pending.” All have allegations of misconduct including improper trading and other breaches of fiduciary duty.  Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020) of Tarzana, CA. He has been in the industry since 2002.  Continue reading ›

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Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy. If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. Advisors with global asset management firm Alliance Bernstein encouraged their investment customers to invest in a new and complicated options strategy they called “Options Advantage.” This strategy was described as something for investors who were “seeking incremental return in a low yield environment.”Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy.

If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this matter, contact Silver Law Group for a no-cost consultation at 800-975-4353 to discuss your potential options. Continue reading ›

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If you were one of the many investors who were led to believe that the Options Advantage Program from Alliance Bernstein was a solid investment, Silver Law Group may be able to help you recover your investment. The current investigation involves AllianceBernstein LP and Sanford C. Berstein & Co. and their brokers. These entities are being scrutinized for allegedly recommending their clients to invest in the Option Advantage Strategy, which is a complex options strategy designed to generate additional returns in a “low yield environment.” The crux of the program was the “cash-free” appeal. This meant that returns were on funds already invested so that investors wouldn’t have to deposit more. The funds were collateral, and the additional returns relied on margins. The promotion of the Option Advantage Strategy occurred from 2018 until October 2022.If you were one of the many investors who were led to believe that the Options Advantage Program from Alliance Bernstein was a solid investment, Silver Law Group may be able to help you recover your investment losses.

The current investigation involves AllianceBernstein LP and Sanford C. Berstein & Co. and their brokers. These entities are being scrutinized for allegedly recommending their clients to invest in the Option Advantage Strategy, which is a complex options strategy designed to generate additional returns in a “low yield environment.” Continue reading ›

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Silver Law Group is investigating claims involving the AllianceBernstein Options Advantage Program, where investors were offered the opportunity to earn additional return on already-invested funds. The firm’s financial advisors allegedly sold this program as low risk and low volatility, but many investors suffered significant losses. Many investors claim they were told that they could earn an additional 1% to 2% return on assets they’d previously invested in the firm. The so-called “cash-free” option involved using margin to avoid having customers add additional funds to their account. The idea was that using margin would make it less risky to the investor. The existing stocks, bonds, mutual funds, or other investments became the collateral for borrowing on margin.Silver Law Group is investigating claims involving the AllianceBernstein Options Advantage Program, where investors were offered the opportunity to earn additional return on already-invested funds. The firm’s financial advisors allegedly sold this program as low risk and low volatility, but many investors suffered significant losses. Continue reading ›

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Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982. Ameriprise Termination And FINRA Investigation On 12/17/2021, Joughin voluntarily resigned from her employment at Ameriprise “while under review for compliance policy violations related to a fiduciary relationship.” No additional details are available. In January of 2022, Ameriprise filed a Uniform Termination Notice for Securities Industry Registration (Form U5) with FINRA listing the investigation as the reason for her departure.Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982. Continue reading ›

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The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. Written in a question-and-answer format, the bulletin is designed to offer information to its target audience for two topics: The Care Obligation of Regulation Best Interest (“Reg BI”) for broker-dealers The duty of care enforced under the Investment Advisers Act of 1940, known as the “IA fiduciary standard” for investment advisors These are collectively referred to as “care obligations,” requiring a fiduciary to put the client’s needs above their own when making recommendations. Many brokers are also registered as investment advisors. When acting as an investment advisor, the broker must notify the customer that they are acting in that capacity and use the IA fiduciary standard.The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. Written in a question-and-answer format, the bulletin is designed to offer information to its target audience for two topics:

Continue reading ›

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Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been in the industry since 2002. In his CRD, Morrison has three currently pending customer disputes: Filed on 12/2/2022, the customer alleges “violation of Michigan Uniform Securities Act and Consumer Protection Act, unsuitable recommendations, breach of contract, common law fraud, breach of fiduciary duty and negligence.” No damages listed. Filed on 8/19/2022, the customer alleges “negligence, breach of contract, breach of fiduciary duties, failure by respondents to know their customer and unsuitable investments.” The client requests damages of $1,843,116.64. Filed on 6/14/2022. The customer alleges “failure to conduct adequate due diligence prior to making a recommendation, unsuitable recommendation, negligence, excessive trading, unauthorized trading, breach of fiduciary duty, and breach of contract. No damages listed. Morrison also has two tax liens in his CRD filed on 2/23/2023 totaling $134,496.94. No additional information is available.Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been in the industry since 2002. Continue reading ›

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Silver Law Group, a nationally-recognized law firm representing victims of securities and investment fraud, is investigating potential claims to recover investment losses on behalf of owners of TriplePoint (TPVG) stock, which has recently dropped significantly in value on a report questioning the value of its loan book. If you own shares of TriplePoint (TPVG), Silver Law Group may be able to help you recover investment losses. Contact us today for a consultation at 800-975-4345. Report Alleges TriplePoint’s Equity Is Impaired TriplePoint Venture Growth BDC (TPVG) describes itself as a “business development company specializing in investments in venture capital-backed companies at the growth stage investments.” The company also provides “debt financing to venture growth space companies.” Silver Law Group, a nationally-recognized law firm representing victims of securities and investment fraud, is investigating potential claims to recover investment losses on behalf of owners of TriplePoint (TPVG) stock, which has recently dropped significantly in value on a report questioning the value of its loan book. Continue reading ›

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