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Wells Fargo, Donald A. Devito

Posted: October 16th, 2017

Donald A. Devito CRD# 1096364 Silver Law Group is investigating former Albany, New York-based Wells Fargo broker Donald A Devito after multiple FINRA complaints alleging unauthorized trading and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Devito, a FINRA complaint was filed in January of 2017 alleging unauthorized trading and losses in the client’s […]

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AEGIS Corporation, Paul A. Falcon

Posted: October 16th, 2017

Paul A. Falcon CRD# 2464566 Silver Law Group is reviewing customer complaints against Boca Raton office of Aegis Capital Corp. broker Paul A. Falcon that alleges he exercised unauthorized trading in client brokerage accounts, provided unsuitable investment recommendations and engaged in excessive trading According to FINRA’s BrokerCheck report on Falcon, a customer filed a complaint […]

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Oppenheimer & Co, Daniel H. Morris

Posted: October 16th, 2017

Daniel H Morris (CRD#1046760) Silver Law Group is reviewing former Connecticut-based Oppenheimer & Co broker Daniel H Morris after a customer filed a $900,000 FINRA arbitration against him. According to Morris’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in March of 2017 against Morris’s alleging unsuitability for the client’s age and risk […]

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AEGIS Capital Corp, Shadi T. Barakat

Posted: October 16th, 2017

Shadi T Barakat CRD#5031281 Silver Law Group is investigating former New York, New York-based AEGIS Capital Corp broker Shadi T. Barakat after multiple clients filed FINRA complaints alleging excessive trading and churning. This complaint was settled in 2015 for $360,000. According to FINRA’s BrokerCheck report on Barakat, another FINRA complaint alleging churning and unsuitable recommendations […]

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Reuters Releases List of Top 48 Brokerage Firms with Highest Percentage of Brokers with Most Serious FINRA Disclosures

Posted: October 13th, 2017

A Reuters investigation team published a story earlier this year documenting high-risk brokers and brokerage firms using bulk data it compiled. Silver Law Group continues to investigate claims against these brokerage firms. FINRA requires brokers to disclose 23 types of incidents that might give investors concern, such as regulatory sanctions, court and arbitration judgments and bankruptcies.  […]

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North Florida-based D.H. Hill Broker Charles Stevens and St. Johns Financial Planning Under Investigation

Posted: October 11th, 2017

Silver Law Group is investigating St. Augustine Florida-based D.H. Hill Securities, LLLP (CRD# 41528) broker Charles T. Stevens (CRD# 1698058) after FINRA sanctioned D.H. Hill Securities over misconduct concerning public non-traded REITs. Charles Stevens and St. Johns Financial Planning Stevens’ runs his own St. Augustine, Florida-based D.H. Hill Securities office under the moniker St. Johns […]

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Kingwood, Texas-based Broker D.H. Hill Under Investigation Over Regulatory Actions Concerning REITs

Posted: October 11th, 2017

Silver Law Group is investigating Kingwood, Texas-based brokerage firm D.H. Hill Securities, LLLP (CRD# 41528) (“D.H. Hill”) after FINRA sanctioned the firm for its conduct concerning the firm’s role as underwriter of a real estate investment trust (“REIT”). D.H. Hill Securities Enters into a Settlement with FINRA D.H. Hill entered into an Acceptance, Waiver & […]

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Greensboro, North Carolina-based Ameritas Investment Corp. Broker Alonza Barnett Under Investigation After FINRA Bar

Posted: October 10th, 2017

Silver Law Group is investigating Greensboro, North Carolina-based Ameritas Investment Corp. (CRD# 14869) broker Alonza Barnett Jr (CRD# 4577695) after FINRA barred him and a customer brought a complaint alleging $1.75 million in damages. Barnett’s CRD Report According to Barnett’s FINRA BrokerCheck report, FINRA barred Barnett in March 2017 after he failed to respond to […]

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Former South Florida-based Raymond James Broker Leon P. Rehak Under Investigation

Posted: October 10th, 2017

Silver Law Group is investigating former South Florida-based Raymond James & Associates, Inc. (CRD# 705) broker Leon P. Rehak (CRD# 2331058) after a customer brought a FINRA arbitration complaint alleging over half a million dollars in damages. According to Rehak’s FINRA BrokerCheck report, a customer of Rehak filed a FINRA arbitration against him in November […]

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Former New York-based Joseph Stone Capital Broker Under Investigation After Montana Sanctions Over Excessive and Unauthorized Trading

Posted: October 10th, 2017

Silver Law Group is investigating former New York-based Joseph Stone Capital L.L.C. (CRD# 159744) broker David G. Menashe (CRD# 5727269) after the State of Montana sanctioned him for excessive and unauthorized trading. Menashe’s CRD Report and the Montana Regulatory Decision According to Menashe’s FINRA BrokerCheck report, the Office of the Commissioner of Securities and Insurance […]

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