A National Securities Arbitration & Investment Fraud Law Firm
Did your broker recommend buying shares in Document Security Systems (DSS) which was underwritten by Aegis Financial? Document Security Systems, Inc., is a multinational company now known as DSS that operates a variety of business segments including healthcare, direct marketing, consumer packaging, real estate, renewable energy, blockchain security, and securitized…
According to FINRA Disciplinary actions for March 2025, 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. However, these individuals remain bound by…
According to FINRA Disciplinary actions for March 2025, 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 Yiu Yeung Pacific…
According to FINRA Disciplinary actions for March 2025, 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 Steven Blanchard LPL Financial LLC Raymond James Financial Services, Inc. Michael Fasciglione Aegis Capital Corp. National…
Brokerage firm Aegis Capital’s track record has come under fire after SLCG Economic Consulting published a report on the firm’s offerings in the last few years. The report calls Aegis Capital a “farm-to-table securities fraud purveyor” after their underwriting and subsidizing of consistently failing small cap stock companies. Aegis’ underwriting…
On Sunday, February 16, 2025, Almir Ocanto, a Venezuelan national, was found dead in Broward County. He was wanted in connection with multiple warrants related to financial fraud and scams perpetrated primarily online. Silver Law Group represents victims who were defrauded by Ocanto. According to news stories, operating as a…
According to FINRA Disciplinary actions for February 2025, 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 Robert Franden Raymond James & Associates, Inc. Morgan Stanley Brokers and brokerage firms are obligated to…
According to FINRA Disciplinary actions for January 2025, 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 Sebastian Bongiovanni Spartan…
According to FINRA Disciplinary actions for January 2025, 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 Michael Barrows M Stevens Securities, LLC Kingswood Capital Partners, LLC Eric Ludovico M Stevens Securities, LLC…
According to FINRA Disciplinary actions for January 2025, 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. However, these individuals remain bound by…
