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According to FINRA Disciplinary actions for October 2019, 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
  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Partners
  Bailey, Michael   PFS Investments
  Primerica Financial Services
  Bartley, Jevon   Merrill Lynch, Pierce, Fenner & Smith
  Bank of America
  Bisch, Sara   Santander Securities
  Edward Jones
  Shanks, Anita
  Gonzales, Edward
  Hegarty, Adrian   JP Morgan Securities
  Citigroup Global Markets
  Kraft, David   Morgan Stanley
  Wells Fargo Advisors
  La Gala, Anthony
  Lundstrom, Jeffrey   Signator Investors
  Transamerica Financial Advisors
  Madril, Michael   Wells Fargo Clearing Services
  Mazza, Vincent   National Securities Corp
  Kovak Securities
  McClellan, Richard   LPL Financial
  MML Investors Services
  Murano, Marc   JP Turner & Company
  Muraya, Benson
  Nurrain, Merle
  Olsen, Blair   Lincoln Investment
  Legend Equitities Corp
  Sandhu, Angad
  Scarfone, Bryce   HSBC Securities (USA) Inc
  Sperring, Donald Jr.   AXA Advisors LLC
 The Equitable Lie Assurance Society of the United States
  Su, Zachary   JP Morgan Securities
  World Financial Group
  Uwechue, Anthony   JP Morgan Securities
  Chase Investment Serivces
  Wright, Tiana   Northwestern Mutual Investment Services

Continue reading ›

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According to FINRA Disciplinary actions for October 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
  Bender, Charles   Suntrust Investment Services, Inc
  JP Morgan Securities
  Bingham, Daniel   Essex Securities
  Investors Capital Corp
  Devaney, Patrick   Financial West Group
  American P3 Capital
  Diehlman, Kurt   Investacorp, Inc
  Schneider Securities
  Dunbarm Clinton   Union Capital Company
  IFS Securities
  Frank, Charles   NY Life Securities
  MWA Sinancial Services
  Gallacher, David   LPL Financial
  AG Edwards & Sons
  Goebel, Kyle
  Gonzalez, Fernando   PNC Investments
  Merrill Lunch, Pierce, Fenner & Smith Inc
  Gruenberg, Myron   Quest Capital Strategies
  Harris, Adrianna   Charles Schwab
  Hose, Audrey   UBS Financial Services
  Montchal, Raymond   Morgan Stanley
  Citigroup Global Markets
  Neuedorf, Robert   David Lerner Associates
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Wernig, Charles III   Voya Financial Advisors
  Kestra Investment Services, LLC
  Zhang, Xiangyu   Wells Fargo Clearing Services
  LPL Financial LLC

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Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. From 2004-2013, Sanchez worked for Metlife Securities (CRD#: 14251) at their Plantation branch. Silver Law Group represents investors in arbitration claims against SagePoint Financial. Our investment fraud law firm is in the Fort Lauderdale area and we can meet with you in person to answer any questions.Alberto Sanchez (CRD#: 4577983) is a now-bared broker formerly with SagePoint Financial (CRD#: 133763), MML Investors Services (CRD#: 10409), and Principal Securities (CRD#: 1137), all at Fort Lauderdale branch locations. From 2004-2013, Sanchez worked for Metlife Securities (CRD#: 14251) at their Plantation branch.

Silver Law Group represents investors in arbitration claims against SagePoint Financial. Our investment fraud law firm is in the Fort Lauderdale area and we can meet with you in person to answer any questions. Continue reading ›

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Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Conagra Brands (CAG) on reports that the company may have violated the law by making misleading statements about their ability to integrate Pinnacle Foods (PF) into its business. Investors With Losses In Conagra (CAG) May Be Able To Recover Losses If you acquired or purchased shares of Conagra, please contact Scott Silver of the Silver Law Group for a free consultation at (800) 975-4345 or ssilver@silverlaw.com.Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Conagra Brands (CAG) on reports that the company may have violated the law by making misleading statements about their ability to integrate Pinnacle Foods (PF) into its business.

Investors With Losses In Conagra (CAG) May Be Able To Recover Losses

If you acquired or purchased shares of Conagra, please contact Scott Silver of the Silver Law Group for a free consultation at (800) 975-4345 or ssilver@silverlaw.com. Continue reading ›

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Silver Law Group has filed FINRA arbitration claims on behalf of clients who have invested with Flynn Wealth Management of Greer, South Carolina. Flynn Wealth Management was owned by now-barred broker James Flynn (CRD# 3082615) and operated under FINRA-registered firm Voya Financial Advisors. As the firm that approved the investments Flynn Wealth Management sold to its clients, Voya is responsible for Flynn’s conduct and are the respondent claims are made against. Silver Law Group has filed FINRA arbitration claims on behalf of clients who have invested with Flynn Wealth Management of Greer, South Carolina.

Flynn Wealth Management was owned by now-barred broker James Flynn (CRD# 3082615) and operated under FINRA-registered firm Voya Financial Advisors. As the firm that approved the investments Flynn Wealth Management sold to its clients, Voya is responsible for Flynn’s conduct and are the respondent claims are made against. Continue reading ›

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Broker Ashley Charles Woodard (CRD#: 4703144), a broker in Greenville, SC is currently registered with NY Life Securities LLC (CRD#: 5167). Woodard formerly worked for Flynn Wealth Management with now-barred broker James Flynn. Silver Law Group has filed FINRA arbitration claims on behalf of clients who invested with Flynn Wealth Management. The claims are against Voya Financial and IFS Securities, which Flynn Wealth Management operated under, and which Flynn and others were registered as stock brokers.Broker Ashley Charles Woodard (CRD#: 4703144), a broker in Greenville, SC is currently registered with NY Life Securities LLC (CRD#: 5167). Woodard formerly worked for Flynn Wealth Management with now-barred broker James Flynn.

Silver Law Group has filed FINRA arbitration claims on behalf of clients who invested with Flynn Wealth Management. The claims are against Voya Financial and IFS Securities, which Flynn Wealth Management operated under, and which Flynn and others were registered as stock brokers. Continue reading ›

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Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Canopy Growth Corporation (CGC), a publicly-traded company involved in the production, distribution, and sale of cannabis in Canada, on behalf of shareholders of the company’s stock. The investigation concerns potential violations of federal securities laws.Silver Law Group, a nationally-recognized class action law firm representing investors, is investigating Canopy Growth Corporation (CGC), a publicly-traded company involved in the production, distribution, and sale of cannabis in Canada, on behalf of shareholders of the company’s stock.

The investigation concerns potential violations of federal securities laws. Continue reading ›

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Silver Law Group has filed another FINRA arbitration claim against SagePoint Financial to recover losses for a client who invested $100,000 in GPB Capital on the advice of her broker. Silver Law Group filed the first arbitration claim against SagePoint Financial to recover GPB investment losses, and continues to file claims on behalf of GPB investors with other brokerage firms. The SagePoint investor lives in California and is seeking the securities arbitration to be heard in Los Angeles, California.Silver Law Group has filed another FINRA arbitration claim against SagePoint Financial to recover losses for a client who invested $100,000 in GPB Capital on the advice of her broker.

Silver Law Group filed the first arbitration claim against SagePoint Financial to recover GPB investment losses, and continues to file claims on behalf of GPB investors with other brokerage firms. The SagePoint investor lives in California and is seeking the securities arbitration to be heard in Los Angeles, California. Continue reading ›

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James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. FINRA barred James Anderson from working in the securities industry after he failed to provide FINRA with documents and information during an investigation into allegations that he “engaged in the purchase and sale of securities away from his member firm, without the knowledge or approval of the firm.”James Anderson (CRD# 4803514) is a now-barred broker formerly with Ameritas Investment Corp. (CRD# 14869. Anderson was a registered representative of Ameritas from 2004 to February, 2019, and has worked at their branch offices in Dakota Dunes, South Dakota, West Des Moines, Iowa, and Lincoln, Nebraska. Anderson also did business as Central Financial Group. Continue reading ›

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On November 12, 2019, Scott Silver of the Silver Law Group and co-counsel filed a lawsuit in the Northern District of Florida against Phillip Timothy Howard (Tim Howard), a Tallahassee, Florida attorney and investment fund manager, based on claims that Howard defrauded an investor of more than a half-million dollars as part of a real estate fraud scheme. The suit alleges (1) violation of the federal civil Racketeer Influenced and Corrupt Organizations Act (RICO); (2) fraud in the inducement; (3) breach of fiduciary duty; (4) negligent misrepresentation; and (5) unjust enrichment.On November 12, 2019, Scott Silver of the Silver Law Group and co-counsel filed a lawsuit in the Northern District of Florida against Phillip Timothy Howard (Tim Howard), a Tallahassee, Florida attorney and investment fund manager, based on claims that Howard defrauded an investor of more than a half-million dollars as part of a real estate fraud scheme.

The suit alleges (1) violation of the federal civil Racketeer Influenced and Corrupt Organizations Act (RICO); (2) fraud in the inducement; (3) breach of fiduciary duty; (4) negligent misrepresentation; and (5) unjust enrichment. Continue reading ›

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