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According to FINRA Disciplinary actions for March 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:

NAME FORMER EMPLOYERS
  Barry Carson   Farmers Financial Solutions
  Lynn Cawthorne   Cambridge Investment Research, Inc.
  Investment Professionals, Inc.
  Prithviraj Dhandapani   LPL Financial LLC
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Davrion Hemphill
  Fernando Landicho   Transamerica Financial Advisors,Inc.
  World Group Securities, Inc.
  Megan McAlinden

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According to FINRA Disciplinary actions for March 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
  Eric Abrahams   Burch & Company, Inc.
  Stillwater Structured Finance, LLC
  Ronny Acluche   Citizens Securities, Inc.
  Morgan Stanley
  Mark Adams Sr.   Ameriprise Financial Services, Inc.
  Banc of America Investment Services, Inc.
  Omer Ali-Taha   BB&T Investment Services, Inc.
  Fairfax Wealth, LLC
  John Baron   Morgan Stanley
  J.P. Morgan Securities LLC
  Antonio Costanzo   Titus Rockefeller, LLC
  IFS Securities
  Peter Ingraham   Morgan Stanley
  UBS Financial Services Inc.
  Bruce Katz   Gilford Securities Incorporated
  Raymond James & Associates, Inc.
  Andrew Mandala   Burch & Company, Inc.
  Stillwater Structured Finance, LLC
  Steve Morris   Wynston Hill Capital, LLC
  Halcyon Cabot Partners, Ltd.
  Donald Padilla   National Securities Corporation
  Kestra Investment Services, LLC
  Thomas Polston   Stifel, Nicolaus & Company, Incorporated
  Advest, Inc.
  Virgil Richmond II   Wells Fargo Clearing Services, LLC
  J.P. Morgan Securities LLC
  Matthew Siliato   Wynston Hill Capital, LLC
  Spartan Capital Securities, LLC
  Steven Thrush   Summit Brokerage Services, Inc.
  Cambridge Investment Research, Inc.
  John Wyshak   Raymond James & Associates, Inc.
  Wedbush Securities Inc.

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Silver Law Group has filed a FINRA dispute resolution claim against Wells Fargo and one of its brokers on behalf of a client who lost over $1,000,000 as a result of bad real estate investment advice he received from his broker. Silver Law Group has filed arbitration claims against Wells Fargo. If you have investment losses, contact us today for a no-cost consultation at 855-755-4799.Silver Law Group has filed a FINRA dispute resolution claim against Wells Fargo and one of its brokers on behalf of a client who lost over $1,000,000 as a result of bad real estate investment advice he received from his broker.

Silver Law Group has filed arbitration claims against Wells Fargo. If you have investment losses, contact us today for a no-cost consultation at 855-755-4799. Continue reading ›

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Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating plant-based meat producer Beyond Meat, Inc. (BYND) on behalf of shareholders in the company. Beyond Meat (BYND) Subject Of Class Action Lawsuit A class action lawsuit has been filed against Beyond Meat for potential violations of federal securities laws.  If you purchased shares of Beyond Meat (BYND) between May 2, 2019 and January 27, 2020 (the class period), please contact Silver Law Group for a free consultation at ssilver@silverlaw.com or toll free at (800) 975-4345 to discuss options for participating in the lawsuit. The class has not yet been certified in this case.Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating plant-based meat producer Beyond Meat, Inc. (BYND) on behalf of shareholders in the company.

Beyond Meat (BYND) Subject Of Class Action Lawsuit

A class action lawsuit has been filed against Beyond Meat for potential violations of federal securities laws. Continue reading ›

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Silver Law Group is investigating PNC Bank regarding its involvement with The Income Store, a company The SEC accuses of operating a “Ponzi-like scheme”, which allegedly promised investors high rates of return from revenue-generating websites. SEC Files Emergency Enforcement Action Against The Income Store In January, 2020, The Securities and Exchange Commission (SEC) announced that it obtained a temporary restraining order and filed an emergency enforcement action against Kenneth D. Courtright III and his company, Todays Growth Consultant Inc. (TGC), which did business as The Income Store and allegedly raised more than $75 million from over 500 investors.Silver Law Group is investigating PNC Bank regarding its involvement with The Income Store, a company The SEC accuses of operating a “Ponzi-like scheme”, which allegedly promised investors high rates of return from revenue-generating websites.

SEC Files Emergency Enforcement Action Against The Income Store

In January, 2020, The Securities and Exchange Commission (SEC) announced that it obtained a temporary restraining order and filed an emergency enforcement action against Kenneth D. Courtright III and his company, Todays Growth Consultant Inc. (TGC), which did business as The Income Store and allegedly raised more than $75 million from over 500 investors. Continue reading ›

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The Securities and Exchange Commission (SEC) is accusing Florida-based real estate firm EquiAlt LLC, and its owner and managing director, with running a Ponzi scheme that raised over $170 million from 1,100 investors and misappropriated millions of dollars to pay for personal luxury items including sports cars and private jet travel.The Securities and Exchange Commission (SEC) is accusing Florida-based real estate firm EquiAlt LLC, and its owner and managing director, with running a Ponzi scheme that raised over $170 million from 1,100 investors and misappropriated millions of dollars to pay for personal luxury items including sports cars and private jet travel.

Did you lose money with EquiAlt? Call our attorneys toll free at (800)-975-4345 or e-mail ssilver@silverlaw.com for a no-cost confidential consultation about options to recover your losses. Continue reading ›

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Robert Perlman (CRD# 1892131) is a currently-registered broker with UBS Financial Services who has 3 customer disputes on his publicly-available FINRA BrokerCheck report, including 1 that seeks $750,000 in damages related to investment in the UBS Yield Enhancement Strategy (YES). Robert Perlman (Robert Benjamin Perlman) has been in the securities industry since 1988 when he started at Lehman Brothers (CRD# 7506). He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. He works in New York City.Robert Perlman (CRD# 1892131) is a currently-registered broker with UBS Financial Services who has 3 customer disputes on his publicly-available FINRA BrokerCheck report, including 1 that seeks $750,000 in damages related to investment in the UBS Yield Enhancement Strategy (YES).

Robert Perlman (Robert Benjamin Perlman) has been in the securities industry since 1988 when he started at Lehman Brothers (CRD# 7506). He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. He works in New York City. Continue reading ›

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Christopher Tolmacs (CRD#: 4648724), a barred broker formerly with Triad Advisors, Inc. (CRD#: 25803) in Portage, MI, is the subject of 18 disclosures on his publicly available FINRA BrokerCheck report. Christopher Tolmacs has been in the industry since 2003. Before joining Triad Advisors in 2008, he previously worked for ING Financial Partners, Inc. (CRD#: 2882) and Vanguard Capital (CRD#: 22081).Christopher Tolmacs (CRD#: 4648724), a barred broker formerly with Triad Advisors, Inc. (CRD#: 25803) in Portage, MI, is the subject of 18 disclosures on his publicly available FINRA BrokerCheck report.

Christopher Tolmacs has been in the industry since 2003. Before joining Triad Advisors in 2008, he previously worked for ING Financial Partners, Inc. (CRD#: 2882) and Vanguard Capital (CRD#: 22081). Continue reading ›

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Silver Law Group has filed a FINRA arbitration claim against Kalos Capital, Inc. (CRD# 44337) regarding broker Eric Weschke (CRD# 3486324) and losses our client suffered by investing in GPB Capital Holdings.   Eric Weschke has been in the industry since 1994, and works out of Setauket, New York. Before joining Kalos in 2011, Weschke was registered with Harrison Douglas, Inc. (CRD# 16515), Alternative Wealth Strategies (CRD#130933), Equity Services, Inc. (CRD# 265), Self Trading Securities, Inc. (CRD# 38439), and Tasin & Company, Inc. (CRD# 30709).Silver Law Group has filed a FINRA arbitration claim against Kalos Capital, Inc. (CRD# 44337) regarding broker Eric Weschke (CRD# 3486324) and losses our client suffered by investing in GPB Capital Holdings.

Eric Weschke has been in the industry since 1994, and works out of Setauket, New York. Before joining Kalos in 2011, Weschke was registered with Harrison Douglas, Inc. (CRD# 16515), Alternative Wealth Strategies (CRD#130933), Equity Services, Inc. (CRD# 265), Self Trading Securities, Inc. (CRD# 38439), and Tasin & Company, Inc. (CRD# 30709). Continue reading ›

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FINRA requested comments on its proposed rule to limit registered representatives from being “named as a customer’s beneficiary or holding a position of trust for or on behalf of a customer.” Silver Law Group, a nationally-recognized investor rights law firm, has submitted a comment letter to FINRA that states our support for addressing this issue. Submitted by managing partner, Scott Silver, Esq., he comments that our firm has seen a rise in cases involving stockbrokers who improperly borrow money from clients, pressure clients to make the financial advisor part of the estate, and other trust and estate issues.FINRA requested comments on its proposed rule to limit registered representatives from being “named as a customer’s beneficiary or holding a position of trust for or on behalf of a customer.” Silver Law Group, a nationally-recognized investor rights law firm, has submitted a comment letter to FINRA that states our support for addressing this issue. Submitted by managing partner, Scott Silver, Esq., he comments that our firm has seen a rise in cases involving stockbrokers who improperly borrow money from clients, pressure clients to make the financial advisor part of the estate, and other trust and estate issues. Continue reading ›

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