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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Florida Legal Elite 2011
Legal Leaders
5th Annual Most Effective Lawyers 2009
Multi-Million Dollar Advocates Forum
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Public Justice

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The Securities and Exchange Commission (SEC) is suing Frederick Stow (Frederick Markley Stow), a barred broker last employed by Raymond James in Nashville, Tennessee, for allegedly defrauding two senior citizens of over $943,500. “As alleged in our complaint, Stow took advantage of these seniors, abusing his access to their brokerage accounts to generate income for himself,” said Justin Jefferies, assoc. regional director, SEC’s Atlanta regional office. The SEC seeks the return of alleged ill-gotten gains, interest, injunctive relief, and a penalty. Federal prosecutors also filed criminal charges against Stow.The Securities and Exchange Commission (SEC) is suing Frederick Stow (Frederick Markley Stow), a barred broker last employed by Raymond James in Nashville, Tennessee, for allegedly defrauding two senior citizens of over $943,500.

“As alleged in our complaint, Stow took advantage of these seniors, abusing his access to their brokerage accounts to generate income for himself,” said Justin Jefferies, assoc. regional director, SEC’s Atlanta regional office. The SEC seeks the return of alleged ill-gotten gains, interest, injunctive relief, and a penalty.

Federal prosecutors also filed criminal charges against Stow. Continue reading ›

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Jeffrey Dixson (CRD# 4166311) is a previously registered broker and investment adviser who was last registered with Madison Avenue Securities in Vancouver, Washington. Dixson’s BrokerCheck report includes customer disputes seeking hundreds of thousands of dollars in damages regarding the sale of GPB Capital. Silver Law Group represents investors in claims to recover GPB losses. If you have investments in GPB Capital, contact Scott Silver for a consultation at ssilver@silverlaw.com or (800) 975-4345. Jeffrey Dixson (CRD# 4166311) is a previously registered broker and investment adviser who was last registered with Madison Avenue Securities in Vancouver, Washington. Dixson’s BrokerCheck report includes customer disputes seeking hundreds of thousands of dollars in damages regarding the sale of GPB Capital.

Silver Law Group represents investors in claims to recover GPB losses. If you have investments in GPB Capital, contact Scott Silver for a consultation at ssilver@silverlaw.com or (800) 975-4345. 

Jeffrey Dixson And GPB Capital

3 of the customer disputes brought against Dixson in 2020 involve the sale of private placement investments in GPB Capital Holdings, an alternative investment company that is now accused of being a Ponzi scheme. Continue reading ›

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Co-Diagnostics, Inc. (CODX), a publicly-traded diagnostics company headquartered in Salt Lake City, Utah, is the subject of a class action lawsuit that seeks to recover damages for investors. The complaint for the class action alleges that Co-Diagnostics made misstatements about their COVID-19 diagnostic test to inflate the company’s stock price “while the officers and directors exercised low price options and dumped their stock into the open market.”Co-Diagnostics, Inc. (CODX), a publicly-traded diagnostics company headquartered in Salt Lake City, Utah, is the subject of a class action lawsuit that seeks to recover damages for investors.

The complaint for the class action alleges that Co-Diagnostics made misstatements about their COVID-19 diagnostic test to inflate the company’s stock price “while the officers and directors exercised low price options and dumped their stock into the open market.” Continue reading ›

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Masood Azad (Masood Husain Azad, CRD# 4798445) is a barred broker last registered with First Allied Securities, Inc. (CRD# 32444) in League City, Texas. He was previously registered with Voya Financial Advisors, Inc. (CRD# 2882). He had been in the industry since 2004. Masood Azad Disclosures Masood Azad has 5 disclosures on his publicly-available FINRA BrokerCheck report, including 3 customer disputes, 1 regulatory disclosure, and 1 employment separation after allegations:Masood Azad (Masood Husain Azad, CRD# 4798445) is a barred broker last registered with First Allied Securities, Inc. (CRD# 32444) in League City, Texas. He was previously registered with Voya Financial Advisors, Inc. (CRD# 2882). He had been in the industry since 2004.

Masood Azad Disclosures

Masood Azad has 5 disclosures on his publicly-available FINRA BrokerCheck report, including 3 customer disputes, 1 regulatory disclosure, and 1 employment separation after allegations: Continue reading ›

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James Daughtry (James Blake Daughtry, CRD# 3272282) is a currently-barred broker who last worked for Kestra Investment Services, LLC in Dothan, Alabama. Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. He had been in the industry from 1999-2020.James Daughtry (James Blake Daughtry, CRD# 3272282) is a currently-barred broker who last worked for Kestra Investment Services, LLC in Dothan, Alabama.

Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. He had been in the industry from 1999-2020. Continue reading ›

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One of the most common claims from unhappy investors is against stockbrokers who churn or excessively trade their account to generate commissions for themselves. Every dollar spent on fees, costs, or commissions is money that needs to be recovered through profit just for the investor to break even. The higher the commissions an investor pays, the less likely they are to make a profit.One of the most common claims from unhappy investors is against stockbrokers who churn or excessively trade their account to generate commissions for themselves.

Every dollar spent on fees, costs, or commissions is money that needs to be recovered through profit just for the investor to break even. The higher the commissions an investor pays, the less likely they are to make a profit. Continue reading ›

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Silver Law Group has been named a “Top Law Firm” in the 2020 edition the South Florida Legal Guide (SFLG), a leading guide to the best attorneys and law firms in the region.

Scott Silver, Silver Law Group’s managing partner, was also individually named as a “Top Lawyer”.

The lawyers and law firms included in the 2020 South Florida Legal Guide, the 20th anniversary edition, are peer-nominated based on their experience and record of achievement.

South Florida Legal Guide Top Law Firms Are “Best Of The Best”

The publisher of the SFLG, Gary Press, says “The lawyers honored in this issue are the best of the best in South Florida. It’s not a pay-to-play list. Nominations are vetted by the SFLG editorial team…We look for experienced lawyers and weigh factors such as board certifications, Martindale-Hubbell rankings, other accolades and career achievements.” Continue reading ›

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SagePoint Financial has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $1.3 million in restitution to customers for alleged failings related to unit investment trusts (UITs). SagePoint was also ordered by FINRA to pay $300,000 for supervisory violations related to UITs.DID YOUR SAGEPOINT ADVISOR SELL YOU UITs?

SagePoint Financial has been ordered by the Financial Industry Regulatory Authority (FINRA) to pay $1.3 million in restitution to customers for alleged failings related to unit investment trusts (UITs). SagePoint was also ordered by FINRA to pay $300,000 for supervisory violations related to UITs. Continue reading ›

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According to FINRA Disciplinary actions for May 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
  Thomas Bock   Mutual Securities, Inc.
  Securities America, Inc.
  Richard Brown   Arive Capital Markets
  Chelsea Financial Services
  Mary Evans   Mutual Securities, Inc.
  Securities America, Inc.
  Matthew Francis   Morgan Stanley Smith Barney
  Morgan Stanley & Co Incorporated
  James Heafner   Retirement Wealth Advisors, Inc.
  Taylor Capital Management Inc.
  Christopher Kennedy   Oppenheimer & Co, Inc.
  Liberty Tree Advisors, LLC
  Rachael Konz   Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Morgan Stanley
  Jonathan Lake   Wells Fargo Clearing Services, LLC
  Morgan Stanley
  Douglas Leone   Salomon Whitney Financial
  Newport Coast Securities, Inc.
  Yousuf Saljooki   Worden Capital Management LLC
  Salomon Whitney Financial
  Ricardo Urrutia   Mutual of Omaha Investor Services, Inc.
  AXA Advisors, LLC
  Frank Wroblewski   National Securities Corporation
  Wells Fargo Clearing Services, LLC

Continue reading ›

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According to FINRA Disciplinary actions for May 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
  George Belesis   Portfolio Advisors Alliance, LLC
  John Thomas Financial
  Dustin Blount   MML Investors Services, LLC
  Northwestern Mutual Investment Services, LLC
  Barry Carson   Farmers Financial Solutions, LLC
  Felix Chu   NYLife Securities LLC
  Brian Colburn   Maxim Group LLC
  The Buckingham Research Group Incorporated
  Prithviraj Dhandapani   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Michael Drury   Stillpoint Capital LLC
  Davrion Hemphill
  Robert Lee
  Eric Zakarin   Lombard Securities Incorporated
  Independent Financial Group, LLC

Continue reading ›

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