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According to FINRA Disciplinary actions for June 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
  Andrews, Helen   Morgan Stanley
  Barclays Capital Inc
  Andreyeva, Tatyana   Westpark Capital, Inc
  Fordham Financial Management, Inc
  Basarian, Gary   Royal Alliance Associates, Inc
  Integrated Resources Equity Corp
  Bowen, Heath   Allegis Investment Services, LLC
  Signator Financial Services, Inc
  Cohen, Michael   Dinosaur Financial Group, LLC
  IFS Securities
  Gendlek, Francis   IFS Securities
  TFS Securities, Inc
  Hartnett, Richard   Morgan Stanley
  CIBC World Markets Corp
  Kanoy, Anson   Raymond James & Assoc, Inc
  Wells Fargo Advisors, LLC
  Miller, Eric   Scottsdale Capital Advisors Corp
  Rocky Mountain Securities & Investments, Inc
  Murray, Stephen   Raymond James & Associates, Inc
  Morgan Keegan & Company, Inc
  Ramcharran, Rameshwar   Ameriprise Financial Services, Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Romer III, Ernest   Corecap Investments, Inc
  L.M. Kohn & Company
  Rumayor, Juan   Farmers Financial Solutions, LLC
  HSBS Securities (USA) Inc
  Salcedo, Alex   Scottrade, Inc
  Wells Fargo Clearing Services, LLC
  Webb, James Jr.   Citigroup Global Markets Inc
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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According to FINRA Disciplinary actions for June 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
  Anderzejewski, Bryan   Dean Bradley Osbourne Partners LLC
  Morgan Stanley & Co Inc
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Gennity, William   First Standard Financial Company
  Alexander Capital, LP
  Gomez, Edwin   PFS Investments Inc.
  Primerica Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services, Inc
  Won Lee, Kevin   J.P. Morgan Securities LLC
  AXA Advisors, LLC
  Maurer, William   Voya Financial Partners, LLC
  Nye, Jason   The O.N. Equity Sales Company
  UBS Paine Webber Inc.
  Sercia, Anthony   Traderfield Securities, Inc.
  Legend Securities, Inc
  Torres, John   JP Morgan Securities LLC
  Wells Fargo Bank
  Whiting, David   Alternative Asset Investment Mgmt. Services
  HD Vest Investment Services

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

 

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GPB Capital raised over 1.5 billion dollars primarily from mom and pop investors over the last four years. How was GPB they able to raise this money? By paying small and regional brokerage firms over nine (9) percent of the money raised back to the selling broker-dealers.Last week, GPB announced that many of their funds are down 40% or more in value. In hopes of offering their clients some solace, GPB highlighted that it had already made distributions to investors of about 15% of the investors’ capital. However, many investors were shocked to learn that these distributions were not from earnings or profits but an actual return of the money they had previously invested.  In other words, GPB wants to be applauded for returning to investors at least some of their money.GPB Capital raised over 1.5 billion dollars primarily from mom and pop investors over the last four years. How was GPB they able to raise this money? By paying small and regional brokerage firms over nine (9) percent of the money raised back to the selling broker-dealers.

Last week, GPB announced that many of their funds are down 40% or more in value. In hopes of offering their clients some solace, GPB highlighted that it had already made distributions to investors of about 15% of the investors’ capital. However, many investors were shocked to learn that these distributions were not from earnings or profits but an actual return of the money they had previously invested. In other words, GPB wants to be applauded for returning to investors at least some of their money. Continue reading ›

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The SEC has published a fact sheet for identifying and reporting senior financial exploitation for brokers, transfer agents, and financial advisors.We’ve all heard at least one story about an investor who put money into something that was supposed to be the “next best thing,” maybe even with a “guaranteed return.”  Unfortunately, that “next big thing” turned out to be fraudulent. As we at Silver Law Group have reported on our many blogs, senior investors have been particular targets of such blatant fraudulence. In some cases, these investors are bankrupted, and their years of lost savings and careful investments have left them dependent on Social Security. Continue reading ›

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For years, financial advisers have walked a fine line when receiving financial inheritances from their clients. Unfortunately, the line between an adviser’s professional obligations and their personal interests is very easily blurred­­—a reality that leads to complicated fraud and ethics violations.In this blog post, we’ll look into the legal issues associated with financial inheritances from clients by financial advisers, potential solutions to the problem, and how a group of bipartisan lawmakers are taking action and calling to the Financial Industry Regulatory Authority (FINRA) for reform.For years, financial advisers have walked a fine line when receiving financial inheritances from their clients. Unfortunately, the line between an adviser’s professional obligations and their personal interests is very easily blurred­­—a reality that leads to complicated fraud and ethics violations.

In this blog post, we’ll look into the legal issues associated with financial inheritances from clients by financial advisers, potential solutions to the problem, and how a group of bipartisan lawmakers are taking action and calling to the Financial Industry Regulatory Authority (FINRA) for reform. Continue reading ›

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Edward Earl Matthes (CRD#: 2788055) is a former registered broker and investment advisor whose last employer was Mutual Of Omaha Investor Services, Inc. (CRD#:611) of Oconomowoc, WI. His previous employers include Thrivent Investment Management Inc. (CRD#:18387), also of Oconomowoc and Minneapolis, and MML Investors Services, INC. (CRD#:10409), of Chesterfield, MO. No current employment information is available. He has been in the business since 1996.Mutual of Omaha discharged Matthes on 3/12/2019, after allegations surfaced that he “created fictitious account statements and diverting customer funds for his own personal use.”  On 3/15/2019, The FBI began an investigation into the allegations of Matthes’ misappropriation of client funds. No additional information is yet available from the FBI.Edward Earl Matthes (CRD#: 2788055) is a former registered broker and investment advisor whose last employer was Mutual Of Omaha Investor Services, Inc. (CRD#:611) of Oconomowoc, WI. His previous employers include Thrivent Investment Management Inc. (CRD#:18387), also of Oconomowoc and Minneapolis, and MML Investors Services, INC. (CRD#:10409), of Chesterfield, MO. No current employment information is available. He has been in the business since 1996. Continue reading ›

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Diamonds may still be a “girl’s best friend,” but for 300 or more investors in the US and Canada, they were allegedly used to defraud investors. This week, the SEC obtained a court order to shut down a Ponzi scheme run by South Florida-based owner Jose Angel Aman, and his company, Argyle Coin for allegedly operating a Ponzi scheme. Silver Law Group represents investors in this diamond Ponzi scheme.Using the classic model of collecting money and paying dividends to investors with money from new investors, Aman allegedly diverted much of the collected monies to himself for personal use. The Argyle scheme is tied into two other companies he owns, Natural Diamonds Investment Co., and Eagle Financial Diamond Group Inc. Harold Seigel and Jonathan H. Seigel, two stakeholders in these companies, worked with Aman to perpetuate and continue the scheme. All of the defendants reside in South Florida.Diamonds may still be a “girl’s best friend,” but for 300 or more investors in the US and Canada, they were allegedly used to defraud investors. This week, the SEC obtained a court order to shut down a Ponzi scheme run by South Florida-based owner Jose Angel Aman, and his company, Argyle Coin for allegedly operating a Ponzi scheme. Silver Law Group represents investors in this diamond Ponzi scheme. Continue reading ›

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Has a broker or financial advisor asked to be a beneficiary in your will? Financial advisors should not be participating in a client’s estate. Senators Catherine Cortez Masto, (D-Nev.), Mike Rounds, (R.-S.D.), Tina Smith, (D-Minn.) and Chris Van Hollen, (D-Md.) recently sent a formal letter to FINRA requesting that the agency draft and enact new regulations for both advisors and firms prohibiting them from receiving these types of inheritances, and requiring any inheritances to be forfeited. It also requests that the representatives and/or firms pay large fines, and restrict individuals from serving as financial advisors and representatives in the future. Current regulations allow brokers and financial representatives to accept inheritances from their clients. However, many brokerage firms prohibit the practice.Has a broker or financial advisor asked to be a beneficiary in your will? Financial advisors should not be participating in a client’s estate.

Senators Catherine Cortez Masto, (D-Nev.), Mike Rounds, (R.-S.D.), Tina Smith, (D-Minn.) and Chris Van Hollen, (D-Md.) recently sent a formal letter to FINRA requesting that the agency draft and enact new regulations for both advisors and firms prohibiting them from receiving these types of inheritances, and requiring any inheritances to be forfeited. It also requests that the representatives and/or firms pay large fines, and restrict individuals from serving as financial advisors and representatives in the future. Current regulations allow brokers and financial representatives to accept inheritances from their clients. However, many brokerage firms prohibit the practice. Continue reading ›

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Owners of Conagra Brands stock (CAG) are suing the packaged foods giant, alleging they were tricked into approving their nearly $11 billion acquisition of Pinnacle Foods. Conagra, which is a component of the S&P 500, announced that it would acquire Pinnacle Foods in June, 2018. CEO Sean Connolly publicly assured investors that Conagra had done its due diligence into Pinnacle, which owns brands such as Birds Eye and Duncan Hines, and said that the two companies were a natural fit for each other.Owners of Conagra Brands stock (CAG) are suing the packaged foods giant, alleging they were tricked into approving their nearly $11 billion acquisition of Pinnacle Foods.

Conagra Justifies Acquisition Of Pinnacle Foods

Conagra, which is a component of the S&P 500, announced that it would acquire Pinnacle Foods in June, 2018. CEO Sean Connolly publicly assured investors that Conagra had done its due diligence into Pinnacle, which owns brands such as Birds Eye and Duncan Hines, and said that the two companies were a natural fit for each other. Continue reading ›

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Pyxus International, Inc. (PYX), a publicly-traded tobacco and vaporizer company, is the subject of a class action lawsuit filed on behalf of shareholders who lost money investing in the company. Investors who purchased shares of Pyxus between June 7, 2018 and November 8, 2018 (the class period) may be eligible to participate in the lawsuit, which concerns violations of federal securities laws.Pyxus International, Inc. (PYX), a publicly-traded tobacco and vaporizer company, is the subject of a class action lawsuit filed on behalf of shareholders who lost money investing in the company.

Pyxus Class Period And Lead Plaintiff Deadline

Investors who purchased shares of Pyxus between June 7, 2018 and November 8, 2018 (the class period) may be eligible to participate in the lawsuit, which concerns violations of federal securities laws. Continue reading ›

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