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$70 MILLION Recovery for Investment Fraud
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$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
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Public Justice

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Investors in YayYo (YAYO), a ride-hailing vehicle supply company, were disappointed to find out that their shares, which originally sold for $4.00 per share, are now worth pennies. A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. Aegis Capital Corp., et al., alleges that this decimation of stock value was the result of fraud. Specifically, the suit accuses the IPO underwriters, including Aegis Capital Corp., of concealing that its founder/CEO/director, Ramy El-Batrawi, controlled the company despite El-Batrawi’s “checkered past with allegations of securities violations by the federal securities authorities,” according to the Complaint.Investors in YayYo (YAYO), a ride-hailing vehicle supply company, were disappointed to find out that their shares, which originally sold for $4.00 per share, are now worth pennies. A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. Aegis Capital Corp., et al., alleges that this decimation of stock value was the result of fraud. Specifically, the suit accuses the IPO underwriters, including Aegis Capital Corp., of concealing that its founder/CEO/director, Ramy El-Batrawi, controlled the company despite El-Batrawi’s “checkered past with allegations of securities violations by the federal securities authorities,” according to the Complaint. Continue reading ›

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Silver Law Group is investigating Cetera Advisors, LLC and its registered representative David Rockwell. According to Rockwell’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Rockwell was permanently barred from the securities industry and has been the subject of several customer disputes arising out of his misconduct over the past several years, involving allegations of fraud and misappropriation of customer’s funds. Rockwell (CRD# 4236377) has also been the subject of several criminal proceedings, involving charges of stalking, driving while intoxicated, obstruction, and even assault.Silver Law Group is investigating Cetera Advisors, LLC and its registered representative David Rockwell. According to Rockwell’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Rockwell was permanently barred from the securities industry and has been the subject of several customer disputes arising out of his misconduct over the past several years, involving allegations of fraud and misappropriation of customer’s funds. Continue reading ›

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Silver Law Group recently filed a FINRA arbitration claim on behalf of a customer of David Krumrey of Oppenheimer & Co.  Among other things, the suit alleges breach of fiduciary duty, negligence, breach of contract, and failure to supervise resulting in substantial investment losses in the customer’s account. Silver Law Group has been investigating Oppenheimer & Co., Inc. and its registered representative David Krumrey. According to Krumrey’s CRD Report, published by the Financial Industry Regulatory Authority (“FINRA”), Krumrey was permanently barred from the securities industry and is the subject of several customer disputes arising out of his conduct over the past several years. It is likely that Krumrey was engaged in widespread misconduct across many customer accounts. Silver Law Group believes Krumrey’s employing broker-dealer firm, Oppenheimer & Co. Inc., may be liable for this misconduct.Silver Law Group recently filed a FINRA arbitration claim on behalf of a customer of David Krumrey of Oppenheimer & Co.  Among other things, the suit alleges breach of fiduciary duty, negligence, breach of contract, and failure to supervise resulting in substantial investment losses in the customer’s account.

Silver Law Group has been investigating Oppenheimer & Co., Inc. and its registered representative David Krumrey. According to Krumrey’s CRD Report, published by the Financial Industry Regulatory Authority (“FINRA”), Krumrey was permanently barred from the securities industry and is the subject of several customer disputes arising out of his conduct over the past several years. It is likely that Krumrey was engaged in widespread misconduct across many customer accounts. Silver Law Group believes Krumrey’s employing broker-dealer firm, Oppenheimer & Co. Inc., may be liable for this misconduct. Continue reading ›

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Silver Law Group, a nationally-recognized class action and investment fraud law firm, is investigating YieldStreet  after over 30 investors signed a letter to the fintech firm asking for more information on why their investments have not paid them as they had expected. YieldStreet is a crowdfunding platform that offers and promotes individuals access to asset-backed alternative investments in areas such as marine finance, art, litigation funding, and real estate, which are typically only available to large institutions. These alternative investments can offer diversification and have low market correlation.Did you invest in the YieldStreet Vessel Deconstruction I SPV?

Silver Law Group, a nationally-recognized class action and investment fraud law firm, is investigating YieldStreet  after over 30 investors signed a letter to the fintech firm asking for more information on why their investments have not paid them as they had expected.

YieldStreet is a crowdfunding platform that offers and promotes individuals access to asset-backed alternative investments in areas such as marine finance, art, litigation funding, and real estate, which are typically only available to large institutions. These alternative investments can offer diversification and have low market correlation. Continue reading ›

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Silver Law Group, a nationally-recognized stockbroker misconduct law firm, is investigating AllianceBernstein Securitized Asset LP (ABSA or Fund) on behalf of shareholders in the Fund, due to ABSA’s recent news to its shareholders. ABSA is a pooled investment hedge fund, sold by Alliance Bernstein, whose “. . . portfolio is concentrated in mortgage-related securities, it also invests in asset-backed securities, consumer whole loans, and collateralized loan obligations, providing exposure to underlying collateral across residential and commercial mortgages, consumer and auto loans, as well as corporate loans.”Silver Law Group, a nationally-recognized stockbroker misconduct law firm, is investigating AllianceBernstein Securitized Asset LP (ABSA or Fund) on behalf of shareholders in the Fund, due to ABSA’s recent news to its shareholders.

ABSA is a pooled investment hedge fund, sold by Alliance Bernstein, whose “. . . portfolio is concentrated in mortgage-related securities, it also invests in asset-backed securities, consumer whole loans, and collateralized loan obligations, providing exposure to underlying collateral across residential and commercial mortgages, consumer and auto loans, as well as corporate loans.” Continue reading ›

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Silver Law Group, a nationally-recognized class action law firm, is investigating AllianceBernstein Energy Opportunity Fund, L.P. and AllianceBernstein Energy Opportunity Fund, L.P II (collectively “AB Energy Funds”) on behalf of shareholders in the company.Silver Law Group, a nationally-recognized class action law firm, is investigating AllianceBernstein Energy Opportunity Fund, L.P. and AllianceBernstein Energy Opportunity Fund, L.P II (collectively “AB Energy Funds”) on behalf of shareholders in the company.

The AB Energy Funds are pooled investment private equity funds, focused in the oil and gas industry, sold by AllianceBernstein. According to Alliance Bernstein, the AB Energy Funds’ “. . . investment objective and strategies are to generate attractive risk-adjusted returns, through current income and capital gains, by capitalizing on private and public debt and equity investment opportunities in North American oil and gas producers.” Continue reading ›

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Silver Law Group is launching a Coronavirus Task Force to investigate financial wrongdoing associated with the coronavirus (COVID-19) pandemic, including wrongfully denied business interruption insurance. Silver Law Group is working with lawyers with significant experience handling wrongful denial of insurance claims. Working as a team, our lawyers have significant experience prosecuting claims against various financial services and insurance companies for misconduct. Contact Silver Law Group at ssilver@silverlaw.com or toll free at (800) 975-4345 for a no-cost consultation to discuss your legal rights and options.Silver Law Group is launching a Coronavirus Task Force to investigate financial wrongdoing associated with the coronavirus (COVID-19) pandemic, including wrongfully denied business interruption insurance. Silver Law Group is working with lawyers with significant experience handling wrongful denial of insurance claims. Working as a team, our lawyers have significant experience prosecuting claims against various financial services and insurance companies for misconduct.

Contact Silver Law Group at ssilver@silverlaw.com or toll free at (800) 975-4345 for a no-cost consultation to discuss your legal rights and options. Continue reading ›

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Silver Law Group, a nationally-recognized class action law firm, is investigating Aytu BioSciences (AYTU) on behalf of shareholders in the company. The investigation regards whether Aytu and its officers and directors have violated the federal securities laws. Aytu BioSciences (AYTU) Announces License Agreement For COVID-19 Test On March 10, 2020, Aytu BioSciences, a Colorado-based publicly-traded specialty pharmaceutical company, announced that it had reached a license agreement for the exclusive distribution of a Chinese-made test for COVID-19 antibodies in the U.S. The license agreement was for three years, with automatic renewals after that, according to Aytu.Silver Law Group, a nationally-recognized class action law firm, is investigating Aytu BioSciences (AYTU) on behalf of shareholders in the company.

The investigation regards whether Aytu and its officers and directors have violated the federal securities laws.

Aytu BioSciences (AYTU) Announces License Agreement For COVID-19 Test Continue reading ›

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Kalos Capital, Inc. (CRD #44337) is a registered broker-dealer based in Alpharetta, Georgia that is registered in all 50 states and Washington, D.C. Kalos has approximately 150 financial advisors and 60 independent offices. Kalos Capital has been registered with the SEC since 1998 and sells a variety of securities and alternative investments. Kalos was founded by Daniel and Carol Wildermuth, who are its CEO and CFO, respectively.Background Information

Kalos Capital, Inc. (CRD #44337) is a registered broker-dealer based in Alpharetta, Georgia that is registered in all 50 states and Washington, D.C. Kalos has approximately 150 financial advisors and 60 independent offices. Kalos Capital has been registered with the SEC since 1998 and sells a variety of securities and alternative investments. Kalos was founded by Daniel and Carol Wildermuth, who are its CEO and CFO, respectively. Continue reading ›

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Silver Law Group is investigating the following UBS ETRACS ETNs (Exchange Traded Notes): MRRL, WTIU, MLPZ, HOML, SMHD, HDLV, BDCL, LBDC, LMLP, DVHL, and MORL. These ETNs have suffered significant losses as the market has declined due to the coronavirus. UBS created its ETRACS ETNs and may have marketed and sold them to investors seeking low risk without explaining the risks involved in those securities.Silver Law Group is investigating the following UBS ETRACS ETNs (Exchange Traded Notes): MRRL, WTIU, MLPZ, HOML, SMHD, HDLV, BDCL, LBDC, LMLP, DVHL, and MORL. These ETNs have suffered significant losses as the market has declined due to the coronavirus.

UBS created its ETRACS ETNs and may have marketed and sold them to investors seeking low risk without explaining the risks involved in those securities. Continue reading ›

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