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Former Coral Gables, Florida-based UBS Broker Under Investigation for Allegations of Unauthorized Trading

Posted: May 25th, 2017

Silver Law Group is investigating former Coral Gables, Florida broker James P. Scullin (CRD# 1577362) for unauthorized trading in customer accounts among other allegations. According to Scullin’s FINRA BrokerCheck report, UBS Financial Services Inc. (CRD# 8174) terminated Scullin when UBS learned that he actively traded in an undisclosed commodities account outside UBS, exercised discretion without […]

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Former Pennsylvania-based Raymond James Broker Under Investigation for Allegations of Accepting Undisclosed Loans From Customers

Posted: May 25th, 2017

Silver Law Group is investigating former Pennsylvania-based Raymond James Financial Services, Inc. (CRD# 6694) Jeffrey S. Ingros (CRD# 2091822) after FINRA permanently barred him. The most recent trouble with Ingros came in February 2016 when Raymond James permitted Ingros to resign after Ingros disclosed to the firm that he accepted loans from customers without prior written […]

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Silver Law Group Investigates Former Law Vegas Broker Over Recent Cocaine-related Criminal Charges

Posted: May 25th, 2017

Silver Law Group is investigating former PFS Investments Inc. (CRD# 10111) Charles Little (CRD# 2632450) for felony criminal charges involving cocaine. According to Little’s FINRA BrokerCheck report, Little was charged with five felony criminal charges on February 19, 2015.  The charges are all drug-related, including selling and trafficking cocaine. Upon discovering the felony cocaine charges, […]

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Silver Law Group Investigates Aventura, Florida-based Michael R. Smith After UBS Termination

Posted: May 25th, 2017

Silver Law Group is investigating former UBS Financial Services Inc. (CRD# 8174) broker Michael R. Smith (CRD# 428405) after UBS terminated the broker. UBS terminated Smith, based out of Aventura, Florida, in October 2015 after he failed to disclose to the firm that he was named trustee for the trust of an unrelated client on […]

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Former Connecticut Broker Warren M. Rockmacher Under Investigation for Unsuitable Recommendations at Investacorp

Posted: May 25th, 2017

Silver Law Group is investigating former Connecticut-based Investacorp, Inc. (CRD# 7684) broker Warren M. Rockmacher (CRD# 2005652) after FINRA suspended and then permanently barred the broker. Rockmacher currently has a FINRA arbitration pending that alleges unsuitable recommendations and misrepresentation with damages in the amount of $75,000. On May 12, 2016, FINRA suspended Rockmacher for failing […]

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Misconduct-Riddled Former Ohio-based Broker Under Investigation Amidst Pending FINRA Arbitrations

Posted: May 25th, 2017

Silver Law Group is investigating former Ohio-based Concorde Investment Services, LLC (CRD# 151604) broker Larry S. Werbel (CRD# 828351) for three pending FINRA arbitrations and a litany of disclosures on his FINRA BrokerCheck report. According to Werbel’s FINRA BrokerCheck report, Werbel has three pending FINRA arbitrations filed in the last four months that allege unsuitable […]

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Former Arizona-based PFS Investments Broker Under Investigation After FINRA Bars Him From the Industry

Posted: May 25th, 2017

Silver Law Group is investigation former Avondale, Arizona-based broker Rennie M. Roach (CRD# 4482798) after his employing firm, PFS Investments Inc. (CRD# 10111), permitted him to resign and FINRA subsequently barred him from the industry. In December 2015, PFS permitted Roach to resign while the firm conducted an internal review regarding allegations of borrowing and […]

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$1.25 Million FINRA Arbitration Award Upheld for Silver Law Group Client

Posted: May 25th, 2017

A New York federal judge confirmed a $1.25 million FINRA arbitration award against two former executives of the now-defunct broker-dealer firm John Thomas Financial Inc. (CRD# 40982) on July 22, 2015. Just a couple months prior, Silver Law Group had won the initial FINRA arbitration award.  Now, U.S. District Judge Jed Rakoff, according to an […]

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Silver Law Group Investigates FINRA-barred Florida Broker Who Allegedly Sold Away Customers

Posted: May 25th, 2017

Silver Law Group is investigation former Florida-based Fidelity Brokerage Services LLC (CRD# 7784) broker Michael J. DeBoer (CRD# 2114067) for allegedly conducting outside business activities without notifying Fidelity and losing his customers a great deal of money in the process. According to DeBoer’s FINRA BrokerCheck, FINRA permanently barred DeBoer in May 2016 for allegedly recommending […]

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Former Tennessee Woodbury Broker Under Investigation Over Allegations of Outside Business Activities

Posted: May 25th, 2017

Silver Law Group is investigation former Tennessee-based Woodbury Financial Services, Inc. broker David A. Ross (CRD# 3021782) for allegedly failing to disclose an outside business activity and accepting loans from firm clients. According to Ross’s FINRA BrokerCheck report, Woodbury Financial Services (CRD# 421) discharged Ross in April 2016 for the allegations listed above as well […]

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