A National Securities Arbitration & Investment Fraud Law Firm
On Friday, May 13, 2022 the SEC (Securities and Exchange Commission) sued StraightPath Venture Partners LLC and its three founders in federal court alleging the Florida firm raised over $410 million with fraudulent promises to investors about private companies that may hold IPOs (initial public offerings). Continue reading ›
Innovative Industrial Properties, Inc. (IIPR) is the subject of an investigation by Silver Law Group regarding possible violations of the federal securities laws.
If you purchased shares of Innovative Industrial Properties, Inc. (IIPR), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. Continue reading ›
Stronghold Digital Mining, Inc. (SDIG) is the subject of a class action lawsuit and is being investigated by Silver Law Group regarding possible violations of the federal securities laws.
If you purchased shares of Stronghold Digital Mining, Inc. (SDIG), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. The deadline to apply to be lead plaintiff is June 13, 2022. Continue reading ›
According to FINRA Disciplinary actions for April 2022, 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 |
| Mamdoh Abas | Cetera Advisor Networks LLC |
| ProEquities, Inc. | |
| John Agostino | LPL Financial LLC |
| Wells Fargo Advisors LLC | |
| Adam Schachter | PM Wealth Management LLC |
| LPL Financial LLC |
According to FINRA Disciplinary actions for April 2022, 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 |
| Antonio Bestard | Edward Jones |
| Morgan Stanley | |
| Kevin Burckhard | Northwestern Mutual Investment Services, LLC |
| Robert W. Baird & Co. Inc | |
| Darryl Cohen | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Odalis Duran | J.P. Morgan Securities LLC |
| Chase Investment Services Corp. | |
| Thomas Hagan | Morgan Stanley |
| Wells Fargo Advisors, LLC | |
| Forrest Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Fortune Financial Services, Inc. | |
| Evan Jordan | J.P. Morgan Securities LLC |
| AXA Advisors, LLC | |
| Bryan Richey | Eagle Strategies LLC |
| NYLife Securities LLC | |
| Ebony Staples | |
| Jordan Whitacre | Arkadios Capital |
| Triad Advisors LLC |
According to FINRA Disciplinary actions for April 2022, 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 |
| Kyleigh Haynes | Northwestern Mutual Investment Services, LLC |
| Grant Hebeisen | U.S. Bancorp Investments, Inc. |
| Ameriprise Financial Services, Inc. | |
| Carl Ippolito | Pruco Securities, LLC |
| Eagleview Securities, Inc. | |
| Jaime Quintero | American Independent Securities Group, LLC |
| AFA Financial Group, LLC | |
| J-waun Smiley | Morgan Stanley |
| Charles Schwab & Co., Inc. | |
| Albert Tejada | Northwestern Mutual Investment Services, LLC |
According to FINRA Disciplinary actions for March 2022, 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 |
| Kameise Bickham | |
| John Boatright | Newbridge Securities Corporation |
| Summit Brokerage Services, Inc. | |
| Keri Fazio | MML Investors Services, LLC |
| Austin Fox | Cetera Investment Services LLC |
| Corecap Investments, Inc. | |
| Melissa Gilcrease | Allstate Financial Services, LLC |
| Bethany Hewett | Fidelity Brokerage Services LLC |
| Ronald Molo | Edward Jones |
| Marcus Moon | NYLife Securities LLC |
| Robert Paterson | Truist Investment Services, Inc. |
| BB&T Securities, LLC | |
| Lisa Robinson | J.P. Morgan Securities LLC |
| Nathaniel Robinson | J.P. Morgan Securities LLC |
| Herbert Weith IV | Equitable Advisors, LLC |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for March 2022, 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 |
| Maria Acevedo | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Alicia Chester | BBVA Securities Inc. |
| Anthony DiDonna | Equitable Advisors, LLC |
| David Hixon | Morgan Stanley |
| ProEquities, Inc. | |
| James Kent Jr. | Emerson Equity LLC |
| Newport Coast Securities, Inc. | |
| Scott Levine | Ascendiant Capital Markets, LLC |
| BMA Securities | |
| Mario Martinez | Mutual of Omaha Investors Services, Inc. |
| AIG Capital Services, Inc. | |
| John Sommo | UBS Financial Services Inc. |
| Wells Fargo Advisors, LLC | |
| Stephen Wenske | Edward Jones |
According to FINRA Disciplinary actions for March 2022, 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 |
| Joseph Likens | LPL Financial LLC |
| Cornerstone Wealth Management, LLC | |
| Guy Newman | GVC Capital LLC |
| Bathgate Capital Partners LLC | |
| John Santariello | Arive Capital Markets |
| Cape Securities Inc. | |
| Jeanette Stofleth | Cetera Investment Services LLC |
| Morgan Stanley |
Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. Louis, MO. He has been in the industry since 1982. Continue reading ›
Securities Arbitration Lawyers Blog