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Silver Law Group Files Securities Arbitration Claim Relating to California-based Cetera/Investors Capital Corp Broker Daniel B. Vazquez

Posted: April 18th, 2017

Our firm has filed a complaint against Irvine, California-based Cetera Advisors (CRD# 10299) relating to broker Daniel B. Vazquez Sr. (CRD# 3141463) after FINRA permanently barred Vazquez. According to Vazquez’s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June […]

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FINRA’s Securities Helpline for Seniors

Posted: April 7th, 2017

In April 2015, the Financial Industry Regulatory (FINRA) established the toll-free, FINRA Securities Helpline for Seniors.  In the short amount of time of its existence, the helpline and the awareness it has brought to FINRA member firms has produced fruitful results. According to a wealthmanagement.com report, $1.25 million in reimbursements have gone back to customers […]

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Sherman L. Greer, Formerly North Carolina LPL Financial Branch, Under Investigation

Posted: April 7th, 2017

Silver Law Group is investigating former Locust, North Carolina-based LPL Financial LLC (CRD# 6413) broker Sherman L. Greer(CRD# 4910464) after FINRA permanently barred him. According to Greer’s FINRA BrokerCheck report, FINRA permanently barred Greer in November 2016 from acting as a broker or otherwise associating with firms that sell securities to the public after Greer […]

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Jeffrey L. Offen, Employed by 17 Different Firms, Suspended by FINRA

Posted: April 7th, 2017

Silver Law Group is investigating New York-based broker Jeffrey L. Offen (CRD# 2893980) after FINRA suspended him. According to Offen’s FINRA BrokerCheck report, FINRA suspended Offen for 60 days and fined him $5,000 in December 2016.  Offen consented to the sanctions and entry of findings that he failed to timely update his Form U4 to […]

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Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA

Posted: April 7th, 2017

Silver Law Group is investigating Colorado-based Cetera Advisors LLC (CRD# 10299) broker Ken A. Balser (CRD# 704053) after FINRA permanently barred him. According to Balser’s FINRA BrokerCheck report, FINRA permanently barred Balser from acting as a broker or otherwise associating with firms that sell securities to the public.  The permanent bar follows Cetera Advisor’s discharge […]

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Florida-based Ameriprise Broker Brian T. Perry Under Investigation

Posted: April 7th, 2017

Silver Law Group is investigating former Ameriprise Financial Services, Inc. (CRD# 6363) broker Brian T. Perry (CRD# 2874937) after FINRA permanently barred him. According to Perry’s FINRA BrokerCheck report, FINRA permanently barred Perry in December 2016 from acting as a broker or otherwise associating with firms that sell securities to the public.  FINRA barred Perry […]

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Did You Invest in Private International Wealth Management with Dennis Edmonds?

Posted: April 7th, 2017

FINRA has suspended Edmonds for 11 months as a result of his alleged activities involving international asset protection trusts. As a broker in the securities industry for over 23 years, North Carolina-based Dennis Anthony Edmonds is now suspended by the Financial Industry Regulatory Authority (FINRA) for a period of 11 months, beginning January 3, 2017. […]

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Larry C. Wolfe, formerly of Boca Raton, Florida HJ Sims, Under Investigation Over Unauthorized Trading

Posted: April 5th, 2017

Silver Law Group is investigating former Boca Raton, Florida-based Herbert J. Sims & Co. Inc. (CRD# 3420) (“HJ Sims”) broker Larry Charles Wolfe (CRD# 502361) after five (5) customers filed complaints alleging unauthorized trading. According to Wolfe’s FINRA BrokerCheck report, Wolfe has thirteen (13) disclosures. Allegations of churning, unsuitability and unauthorized trading against Wolfe date […]

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New York City Broker Francesco Scarso Fined, Suspended, and Ultimately Barred by FINRA

Posted: April 5th, 2017

Allegations of failing to disclose pertinent tax information led to the sanctions against the former First Standard Financial and Phoenix Financial Services broker As of November 2016, Francesco Scarso, formerly with First Standard Financial Company LLC and Phoenix (PHX) Financial Services, is no longer allowed to act as a broker. The ruling came down from […]

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In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules

Posted: April 4th, 2017

According to FINRA Disciplinary actions for March 2017, 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   Anastasios P. Belesis   John Thomas Financial   ATB Holding Company, LLC   Michael David Charest   Citizens Securities, Inc. […]

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