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$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
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$7.9 MILLION Securities Arbitration Award Against Stockbroker
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Public Justice

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According to FINRA Disciplinary actions for August 2019, 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
  Patrick Auckland   TIAA-VREF Individual & Institutional Services
  Morgan Stanley
  Matthew DiNinno   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith
  Nicholas Diesso   Ameriprise Financial Services
  Ameriprise Advisor Services
  Roger Faubel   Chelsea Financial Services
  National Securities Corp
  Keir Harner   Securities America
  Waddell & Reed
  Heath Harris   Citigroup Global Markets Inc
  Wells Fargo Clearing Services
  Ross Jordan   BBVA Securities
  Morgan Stanley
  Charles LaMarca   Benjamin & Jerold Brokerage
  Meridian Equity Partners
  Ernest Romer III   Corecap Investments, Inc
  L.M. Kohn & Company
  Christopher Sanford   Natwest Markets Securities
  Amherst Pierpont
  Matthew Siliato   Wynston Hill Capital
  Spartan Capital Securities

Continue reading ›

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According to FINRA Disciplinary actions for August 2019, 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
  Carolyn Andrews   UBS Financial Services
  Morgan Keegan & Company
  Meiewyn Avent   Alliance-One Investments
  Metlife Investors Distribution Co
  Robert Corley   Fidelity Brokerage Services
  Redstone Securities
  Jennifer Margaret
  Francisco Garcia   Park Avenue Securities
  EQ Financial Consultants
  Sparkle Griffen   UBS Financial Services
  Merrill Lynch, Pierce, Fenner & Smith
  Robert High II   First National Equity  Corp
  Chase Investment Services
  Richard LaBare   Union Capital Company
  Morgan Stanley & Co Inc
  Arnold Mariampolski   AXA Advisors
  Robert Powers   Emerging Growth Equities
  Roth Capital Partners
  Brandon Yasso   JP Morgan Securities

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Two investors in GPB Capital Holdings have filed a class action lawsuit against the troubled company. The complaint, filed in Manhattan federal court, alleges that GPB breached its fiduciary by failing to give investors its annual audited financial statements. This lawsuit is just the latest problem for GPB, which was recently sued by one of its partners, who accused the company of operating like a Ponzi scheme. The company is also the subject of investigations by the FBI, SEC, FINRA, and New York’s Business Integrity Commission.Two investors in GPB Capital Holdings have filed a class action lawsuit against the troubled company.

The complaint, filed in Manhattan federal court, alleges that GPB breached its fiduciary by failing to give investors its annual audited financial statements.

This lawsuit is just the latest problem for GPB, which was recently sued by one of its partners, who accused the company of operating like a Ponzi scheme. The company is also the subject of investigations by the FBI, SEC, FINRA, and New York’s Business Integrity Commission. Continue reading ›

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Silver Law Group’s managing partner Scott Silver was interviewed for and gave a quote to The New York Times for an article on Ponzi schemes. Scott Silver is a leading investment fraud attorney recognized as being one of the best lawyers for victims of stockbroker misconduct. Scott is a frequent speaker and author on securities arbitration and is the chair of the securities and financial fraud group of the American Association for Justice. The article examines the new tactics used by perpetrators of Ponzi schemes in the years since Bernie Madoff was caught running the largest Ponzi scheme ever in 2008.Silver Law Group’s managing partner Scott Silver was interviewed for and gave a quote to The New York Times for an article on Ponzi schemes.

Scott Silver is a leading investment fraud attorney recognized as being one of the best lawyers for victims of stockbroker misconduct. Scott is a frequent speaker and author on securities arbitration and is the chair of the securities and financial fraud group of the American Association for Justice.

The article examines the new tactics used by perpetrators of Ponzi schemes in the years since Bernie Madoff was caught running the largest Ponzi scheme ever in 2008. Continue reading ›

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Registered Investment Advisor McDermott Investment Advisors (MIA) and its founder Dean Patrick McDermott are the subject of a lawsuit filed by the Securities and Exchange Commission (SEC) for allegedly “double dipping” on fees by investing clients in securities that paid fees to an affiliated broker-dealer, rather than a cheaper alternative. Clients Charged Unnecessary Transaction Fees The lawsuit alleges that McDermott and MIA put over $5.7 million of its client’s assets into unit investment trusts (UITs) that charged a transaction fee, most of which was paid to a broker-dealer that was owned by McDermott, rather than a UIT with no transaction fee.Registered Investment Advisor McDermott Investment Advisors (MIA) and its founder Dean Patrick McDermott are the subject of a lawsuit filed by the Securities and Exchange Commission (SEC) for allegedly “double dipping” on fees by investing clients in securities that paid fees to an affiliated broker-dealer, rather than a cheaper alternative.

Clients Charged Unnecessary Transaction Fees

The lawsuit alleges that McDermott and MIA put over $5.7 million of its client’s assets into unit investment trusts (UITs) that charged a transaction fee, most of which was paid to a broker-dealer that was owned by McDermott, rather than a UIT with no transaction fee. Continue reading ›

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Silver Law Group is investigating Zynerba Pharmaceuticals (ZYNE), a publicly-traded company that is developing cannabinoid therapies for neuropsychiatric disorders, on behalf of investors in the company’s stock. The investigation regards possible violations of federal securities laws by Zynerba officers and directors.Silver Law Group is investigating Zynerba Pharmaceuticals (ZYNE), a publicly-traded company that is developing cannabinoid therapies for neuropsychiatric disorders, on behalf of investors in the company’s stock.

The investigation regards possible violations of federal securities laws by Zynerba officers and directors. Continue reading ›

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The Commodities Futures Trading Commission (CFTC) Whistleblower Office has issued an alert to the public regarding how people can make themselves eligible for financial awards and protections while helping to stop violators of the Bank Secrecy Act (BSA). The CFTC Whistleblower Program will pay 10%-30% of monetary rewards to eligible persons who provide original information about violations, if that information leads to a successful action that results in over $1 million in monetary sanctions. The CFTC Whistleblower program has been successful and millions have been awarded.The Commodities Futures Trading Commission (CFTC) Whistleblower Office has issued an alert to the public regarding how people can make themselves eligible for financial awards and protections while helping to stop violators of the Bank Secrecy Act (BSA).

The CFTC Whistleblower Program will pay 10%-30% of monetary rewards to eligible persons who provide original information about violations, if that information leads to a successful action that results in over $1 million in monetary sanctions. The CFTC Whistleblower program has been successful and millions have been awarded. Continue reading ›

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Silver Law Group continues to file FINRA arbitration claims on behalf of clients against Voya Financial Advisors regarding its former employee James Flynn (CRD# 3082615) of Greenville, South Carolina. The claims requests compensatory damages for our clients and allege that Voya failed to supervise Flynn’s conduct while he was working for them.Silver Law Group continues to file FINRA arbitration claims on behalf of clients against Voya Financial Advisors regarding its former employee James Flynn (CRD# 3082615) of Greenville, South Carolina.

The claims requests compensatory damages for our clients and allege that Voya failed to supervise Flynn’s conduct while he was working for them. Continue reading ›

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Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Block began in the industry in 1990. In February, 2019 FINRA barred him from acting as a broker after he failed to respond to a request for information. His publicly-available FINRA BrokerCheck report lists 17 disclosures from 1999 to 2019. 12 of the disclosures are customer disputes, and 5 are regulatory events.Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as others in Purchase, NY, St. Louis, MO, Charlotte, NC, Boca Raton, FL, and New York, NY. Continue reading ›

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The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients. According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases.The SEC (Securities and Exchange Commission) has filed a lawsuit against barred advisor Marcus Boggs, who formerly worked for Merrill Lynch, Pierce, Fenner & Smith, for allegedly stealing over $1.7 million from his clients.

According to the SEC’s civil complaint, Boggs is accused of transferring money from three of his client’s accounts to his personal credit card account more than 200 times to pay for huge credit card purchases. Continue reading ›

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