A National Securities Arbitration & Investment Fraud Law Firm CONTACT US (800) 975-4345
En Español

Federal Employee Benefit Counselors Targeted Federal Government Employee Retirement Plan Participants With Variable Annuities Scheme.

Posted: August 2nd, 2017

Silver Law Group and The Law Firm of David Chase are reviewing potential claims of fraudulent inducement of federal employees into purchasing high fee paying variable annuity products by LPL Financial LLC (CRD#6413) affiliated brokers Brandon Long (CRD# 5975459) , Christopher S Laws (CRD#4479529) , Johnathan Dax Cooke (CRD#5365691) and Danny Scott Hood (CRD#3236852). Variable […]

Continue Reading

LPL Financial Advisor Cory Burnell Subject To Multiple Customer Complaints

Posted: July 11th, 2017

Our attorneys are investigating  financial advisor Cory R. Burnell (CRD# 3260340), previously of LPL Financial LLC (CRD# 6413), for unsuitable recommendations to invest in inverse leveraged exchange-traded funds (ETFs). Cory Burnell has 8 customer complaints on his FINRA BrokerCheck report, all of which concern Burnell’s unsuitable recommendations to invest in inverse leveraged ETFs. These complaints […]

Continue Reading

FINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 2017, 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   Miguel Angel Aguilar   MML Investors Services, […]

Continue Reading

In June 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 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   Kimberly Aylesworth   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Inc.   Roger Ericson Bell   UBS Financial […]

Continue Reading

FINRA Suspends Registered Individuals in June 2017 for Violations of FINRA Rules

Posted: July 7th, 2017

According to FINRA Disciplinary actions for June 2017, 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   Devin Barkley   MetLife Investors Distribution Company […]

Continue Reading

FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions for May 2017, 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   Philip Bagalanon   Terry Dean Bahgat   […]

Continue Reading

In May 2017 FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions, 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   Fred Ronald Brown   UBS Financial Services Inc.   Morgan Stanley & Co. Inc.   Robert Joseph Burke III   Suntrust Investment Services, […]

Continue Reading

FINRA Suspends Registered Individuals in May 2017 for Violations of FINRA Rules

Posted: June 19th, 2017

According to FINRA Disciplinary actions for May 2017, 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   Dimitris Alifragis   Ricardo Alonzo Jr.   […]

Continue Reading

Reuters Analyzes FINRA BrokerCheck Data to Compile List of High-risk Brokerage Firms After FINRA Fails to Disclose Said Information

Posted: June 16th, 2017

A Reuters investigation team ran a story on June 12, 2017 concerning high-risk brokers and brokerage firms and compiling a list of the firms with highest percentage of brokers with BrokerCheck disclosures. The FINRA BrokerCheck tool allows users to search specific brokerage firms and brokers to see a variety of information such as location, ownership, […]

Continue Reading

Jeffrey Marc Grayson Suspended After Allegations of Discretionary Trading

Posted: June 9th, 2017

The New Jersey broker is also reported to have lied about his actions Jeffrey Marc Grayson was recently suspended by the Financial Industry Regulatory Authority (FINRA) after an investigation found that he exercised discretion in four customer accounts without written approval from the customers. In addition, Grayson reportedly did not get permission from his member […]

Continue Reading

OUR FREE PROMISE NO RECOVERY, YOU OWE US NOTHING

To contact our attorneys please fill out the form below.