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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   […]

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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, […]

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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.   […]

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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, […]

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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 […]

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Woodstock Financial Group, Inc. Broker William Bruckner Fined and Suspended by FINRA

Posted: June 9th, 2017

Allegations of mismarking solicited trades as unsolicited follow this West Palm Beach broker from firm to firm. William Bruckner is accused of mismarking solicited trades as unsolicited and by doing so, violating his member-firm policy. Originally employed by Sanford C. Bernstein & Co., LLC in West Palm Beach, Florida from February 2010 to July 2012, […]

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New York-based Beech Hill Securities Broker Frank Hamrak Under Investigation Over Unsuitability Allegations

Posted: June 6th, 2017

Silver Law Group is investigating New York-based Beech Hill Securities (CRD# 24771) broker Frank Hamrak (CRD# 1385077) after a customer complaint filed against him alleging unsuitable recommendations settled. According to Hamrak’s FINRA BrokerCheck report, a customer complaint filed in November 2016 against Hamrak settled.  The complaint alleged unsuitability and settled for $127,000. In addition to […]

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Former Puerto Rico-based Popular Securities Broker Manuel Angel Mejia-Gomez Under Investigation

Posted: June 6th, 2017

Silver Law Group is investigating former Puerto Rico-based Popular Securities, LLC (CRD# 8096) broker Manuel Angel Mejia-Gomez (CRD# 2259727) after FINRA suspended him. According to Mejia-Gomez’s FINRA BrokerCheck report, FINRA suspended and fined Mejia-Gomez in December 2016 for three months and fined him $15,000.  According to Mejia-Gomez’s BrokerCheck report, he exercised discretionary authority in customers’ […]

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Christopher P. Anthony, Formerly of Rhodes Securities, Under Investigation for a $2 Million Customer Dispute

Posted: June 6th, 2017

Silver Law Group is investigating former Texas-based Rhodes Securities, Inc. (CRD# 19610) broker Christopher P. Anthony (CRD# 1157930) after a customer filed a $2 million FINRA arbitration against him. According to Anthony’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in January 2017 against Anthony alleging breach of fiduciary duty, negligence, breach of […]

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Network 1 Broker Mark A. Miranda Under Investigation Over Allegations of Unsuitability and Unauthorized Trading

Posted: June 6th, 2017

Silver Law Group is investigating New York-based Network 1 Financial Securities Inc. (CRD# 13577) broker Mark A. Miranda (CRD# 2793426) after numerous customer complaints alleging unauthorized trading and unsuitability. According to Miranda’s FINRA BrokerCheck report, four customer disputes are pending against Miranda. The first customer dispute, filed in November 2014, alleges unauthorized trading, churning, breach […]

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