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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Dennis J. Murphy (a/k/a Dennis James Murphy) (CRD# 4840274), a previously-registered broker, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to appear for testimony in connection with a FINRA investigation concerning his employer’s supervision of potentially unsuitable trading. Failing to cooperate with FINRA in this manner constituted a violation of FINRA Rules and Murphy was barred from associating with any FINRA member firm in any capacity.Dennis J. Murphy (a/k/a Dennis James Murphy) (CRD# 4840274), a previously-registered broker, has been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to appear for testimony in connection with a FINRA investigation concerning his employer’s supervision of potentially unsuitable trading. Failing to cooperate with FINRA in this manner constituted a violation of FINRA Rules and Murphy was barred from associating with any FINRA member firm in any capacity. Continue reading ›

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Arthur Stewart Hoffman (a/k/a Art S. Hoffman) (CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman began his securities career in 1999 and has been based in Glendale, Arizona for the past decade. Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. According to Hoffman’s CRD Report, published by FINRA, he was discharged from Ameriprise Financial Services LLC for “company policy violations related to outside business activities and private securities transactions.”

Arthur Hoffman (a/k/a Arthur Stewart Hoffman, “Art S. Hoffman”, CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. Hoffman allegedly sold to his clients investments in a cryptocurrency fund or similar investment without disclosing material facts. Silver Law Group has seen a rise in claims against financial advisors for improperly investing client’s money in various cryptocurrency or bitcoin related funds. Continue reading ›

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On July 17, 2020, the Securities and Exchange Commission (SEC), brought fraud charges against David Hu, the co-founder and chief investment officer of International Investment Group (IIG), in Manhattan federal district court. A link to the charges can be found here. The SEC is charging Hu with running multiple fraudulent schemes to misrepresent the performance and conceal losses in IIG’s Trade Opportunities Fund (TOF). In addition, Hu is alleged to have sold over $60 million in phony trade finance loans to investors, using the proceeds to pay back other customers who made redemption requests for earlier investments.On July 17, 2020, the Securities and Exchange Commission (SEC), brought fraud charges against David Hu, the co-founder and chief investment officer of International Investment Group (IIG), in Manhattan federal district court. A link to the charges can be found here.

The SEC is charging Hu with running multiple fraudulent schemes to misrepresent the performance and conceal losses in IIG’s Trade Opportunities Fund (TOF). In addition, Hu is alleged to have sold over $60 million in phony trade finance loans to investors, using the proceeds to pay back other customers who made redemption requests for earlier investments. Continue reading ›

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The SEC’s Division of Enforcement’s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are “broadly advertised”. Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on a national exchange. Over the last decade, some of the largest Ponzi schemes in America were assisted by unregistered financial advisors selling unregistered securities. While investments which are not directly tied to the stock market may seem attractive at first, many of these investments are still high risk and are being sold under false pretenses. Ponzi schemes targeting unsophisticated investors seeking conservative investments still dominate our headlines and are frequently perpetrated by those who seek to hide behind exemptions from registration or compliance with the federal securities laws.The SEC’s Division of Enforcement’s Retail Strategy Task Force and Office of Investor Education and Advocacy (OIEA) have released an investor alert encouraging investors to be careful when investing in offerings that are “broadly advertised”.

Did you invest with an unregistered stockbroker? Investments take many forms; many securities are investments other than stocks listed on a national exchange. Over the last decade, some of the largest Ponzi schemes in America were assisted by unregistered financial advisors selling unregistered securities. Continue reading ›

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Blink Charging Company (BLNK) is the subject of a class action lawsuit that has been filed on behalf of investors, alleging securities fraud. Investors may have claims to recover losses. If you have losses from investing in Blink Charging Company (BLNK) stock, contact Silver Law Group for a no-cost consultation toll free at (800) 975-4345 or by email at ssilver@silverlaw.com.  Blink is in the business of electric vehicle charging equipment and services. The complaint for the class action lawsuit alleges that Blink misrepresented and concealed: That many of the company’s electric vehicle (EV) charging stations are damaged, non-functional, or inaccessible. That Blink overstated its partnerships and expansions with other companies. That the growth of the company was overstated.Blink Charging Company (BLNK) is the subject of a class action lawsuit that has been filed on behalf of investors, alleging securities fraud. Investors may have claims to recover losses.

If you have losses from investing in Blink Charging Company (BLNK) stock, contact Silver Law Group for a no-cost consultation at (800) 975-4345 or by email at ssilver@silverlaw.com.

Continue reading ›

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According to FINRA Disciplinary actions for August 2020, 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
  Ignacio Del Campo   Epic Capital Securities
  Insigneo Securities, LLC
  Marvin Egorin   Wedbush Securities Inc.
  Wells Fargo Clearing Services, LLC
  Frank Grant IV
  Stefano Listella   J.P. Morgan Securities LLC
  Great Point Capital LLC
  Jonathan Malone   Wells Fargo Clearing Services, LLC
  Brill Securities, Inc.
  Evan Nadelman   Aegis Capital Corp.
  Forefront Capital Markets LLC
  Jon Scheier   Edward Jones
  Andrew Slocum   Charles Schwab & Co. Inc.
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Elizabeth Sollars   Allstate Financial Services, LLC
  Junior Tonkam   PFS Investments Inc.
  Ricardo Turlan   UBS Financial Services Inc.
  BBVA Securities Inc.

Continue reading ›

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According to FINRA Disciplinary actions for August 2020, 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
  Cynthia Barrera   Morgan Stanley Smith Barney
  Morgan Stanley & Co. Incorporated
  David Braunlich   PTR, Inc.
  Benjamin & Jerold Brokerage I, LLC
  Richard Coleman   SW Financial
  Richard James & Associates, Inc.
  Cindy Fuzie   Morgan Stanley
  MML Investors Services, LLC
  Michael Garris   Wells Fargo Clearing Services, LLC
  Morgan Stanley Smith Barney
  Rajesh Gupta   Morgan Stanley Smith Barney
  JP Morgan Securities LLC
  James McEnerney, Jr.   Wells Fargo Clearing Services, LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scott McVicker   Market Wise Securities, inc.
  Transamerica financial Resources, Inc.
  Daniel Motherway   National Securities Corporation
  UBS Financial Services, Inc.
  Jaime Rivera   First Southern, LLC
  Herbert J. Sims & Co. Inc.

Continue reading ›

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According to FINRA Disciplinary actions for July 2020, 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
  Joanna Abdelhadi   Wells Fargo Clearing Services, LLC
  Credit Suisse Securities (USA) LLC
  Kenneth Butschek   ProEquities, Inc.
  Securities Management & Research, Inc.
  Nathaniel Clay   Laidlaw & Company (UK) Ltd.
  National Securities Corporation
  Paula Collins   TIAA-CREF Individual & Institutional Services, LLC
  Oppenheimerfunds Distributor, Inc.
  Alan Lau   Wells Fargo Clearing Services, LLC
  Wells Fargo Investments, LLC
  Stanley Martin   Allstate Financial Services, LLC
  H&R Block Financial Advisors, Inc.
  Scott Mason   Voya Financial Advisors, Inc.
  Western Wealth Management, LLC
  John Santariello   Arive Capital markets
  Cape Securities Inc.
  Marc Winters   Wedbush Securities Inc.
  UBS Financial Services Inc.

Continue reading ›

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Scott Silver, Silver Law Group’s managing partner, has been re-elected as the co-chair of the Securities and Financial Fraud Group of The American Association for Justice (AAJ), an advocacy group that promotes a fair and effective justice system. Scott is honored to be chosen to continue serving in his role at the AAJ, where he advocates for the rights of victims of securities and investment fraud to pursue justice caused by the misconduct of others. Scott is a frequent lecturer on securities and investment fraud and best practices on pursuing stockbroker misconduct cases.  Scott has previously published a securities arbitration primer available on this website.Scott Silver, Silver Law Group’s managing partner, has been re-elected as the co-chair of the Securities and Financial Fraud Group of The American Association for Justice (AAJ), an advocacy group that promotes a fair and effective justice system.

Scott is honored to be chosen to continue serving in his role at the AAJ, where he advocates for the rights of victims of securities and investment fraud to pursue justice caused by the misconduct of others. Scott is a frequent lecturer on securities and investment fraud and best practices on pursuing stockbroker misconduct cases.  Scott has previously published a securities arbitration primer available on this website. Continue reading ›

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Silver Law Group is investigating Fennec Pharmaceuticals Inc. (FENC) on behalf of investors who have losses from purchasing the company’s stock. The investigation concerns possible violations of federal securities laws by the company. If you have losses from investing in Fennec Pharmaceuticals (FENC) stock, contact Silver Law Group for a confidential no-cost consultation at (800) 975-4345 or by email at ssilver@silverlaw.com.Silver Law Group is investigating Fennec Pharmaceuticals (FENC) on behalf of investors who have losses from purchasing the company’s stock. The investigation concerns possible violations of federal securities laws by the company.

If you have losses from investing in Fennec Pharmaceuticals Inc. (FENC) stock, contact Silver Law Group for a confidential no-cost consultation at (800) 975-4345 or by email at ssilver@silverlaw.com.  Continue reading ›

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