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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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Robert N. Tricarico, Formerly of LPL Financial, Under Investigation After He Pled Guilty Misappropriating $1.2 Million from an Elderly Client

Posted: June 6th, 2017

Silver Law Group is investigating former LPL Financial LLC (CRD# 6413) broker Robert N. Tricarico (CRD# 1500863) after he pled guilty to one count of wire fraud against an elderly investor in a federal court in Connecticut. According to Tricarico’s FINRA BrokerCheck, Tricarico pled guilty in June 2016 in a Hartford, Connecticut federal court to […]

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FINRA Adopts Amendment to Rule That Would Provide Trusted Contact for Seniors with Diminished Capacities

Posted: June 6th, 2017

FINRA recently amended a rule that would require brokerage firms to establish a contact for at-risk seniors. In March 2017, FINRA amended FINRA Rule 4512 to require member firms to make reasonable efforts to obtain the name and contact information for a trusted contact person upon the opening of a customer’s account. The proposal to […]

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FINRA and SEC Adopt New Rule to Help Curb Elder Financial Fraud

Posted: June 6th, 2017

FINRA and the SEC adopted and approved a new rule that is intended to help curb elder financial fraud. In March 2017, FINRA adopted FINRA Rule 2165. Financial Exploitation of Specified Adults.  Shortly thereafter, the SEC approved the rule with an effective date of February 2018 set in place. FINRA Rule 2165 allows a FINRA […]

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SEC Halts Chicago-based Fraud Targeting Seniors Involving Daniel H. Glick, Formerly of Transamerica Financial Advisors

Posted: June 6th, 2017

The SEC announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser and his financial management company accused of scamming elderly investors out of millions of dollars. In the SEC’s complaint, the SEC alleges that Daniel H. Glick (CRD# 2175655) and his unregistered investment advisory firm Financial Management Strategies (“FMS”) took […]

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SEC Halts South Florida-based $4.8 Million Boiler Room Scheme Involving State Lottery Tickets

Posted: June 6th, 2017

The SEC filed charges against a Pompano Beach, Florida-based company, its CEO and its top sales agent in late March 2017, accusing them of conducting a boiler room operation that bilked investors out of almost $5 million. According to the SEC’s complaint, CEO David Gray and sales agent Joseph A. Vitale (CRD# 5223467), aka Donovan […]

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