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Silver Law Group is investigating recently-FINRA-barred former Janney Montgomery Scott LLC (CRD# 463) broker David A. Seigerman (CRD# 2200011). FINRA permanently barred Seigerman after he failed to respond to a FINRA request for information.  The FINRA bar follows a suspension the regulatory body levied on Seigerman in April 2016 for…

Silver Law Group is investigating former Sagepoint Financial, Inc. (CRD# 133763) broker Gary E. Donovan (CRD# 866235) after FINRA permanently barred Donovan for placing limit buy orders for an illiquid OTC security MIXX. In May 2016, FINRA permanently barred Donovan after he placed 180 buy orders for Mix 1 Life,…

The Financial Industry Regulatory Authority (“FINRA”) has filed a case against Richard William Lunn Martin (“Martin”) (CRD# 723309) for allegedly recommending clients invest in unsuitable non-traditional exchange traded funds (“non-traditional ETFs”). Martin has been employed by G.F. Investment Services, LLC (CRD# 132939) from April 2014 to July 2015 and between…

Silver Law Group is investigation former Meyers Associates, L.P. (CRD# 34171) broker Michael S. Lavolpe (CRD# 5054798) over numerous FINRA arbitrations alleging unsuitable recommendations as well as a FINRA-led regulatory action. According to Lavolpe’s FINRA BrokerCheck report, Lavolpe has been alleged to be involved in a little broker misconduct.  Spanning…

Silver Law Group is investigation former Sagepoint Financial, Inc. (CRD# 133763) broker James L. Carpenter (CRD# 2199138) after FINRA barred the broker and because of variable annuity misconduct allegations. According to Carpenter’s FINRA BrokerCheck report, Carpenter was permanently barred from acting as a broker or otherwise associating with firms that…

Silver Law Group is investigating former Morgan Stanley (CRD# 149777) broker Myrna M. Perez (CRD# 4389021) after a FINRA permanent bar. According to Perez’s FINRA BrokerCheck report, FINRA permanently barred Perez from acting as a broker or otherwise associating with firms that sell securities in June 2016 after she failed to…

Silver Law Group is investigating former Miami, Florida-based J.P. Morgan Securities LLC (CRD# 79) broker Yohandy Gonzalez (CRD# 6298112) after J.P. Morgan discharged him and a FINRA suspension. According to Gonzalez’s FINRA BrokerCheck report, J.P. Morgan discharged Gonzalez on March 9, 2016.  According to the FINRA BrokerCheck report, Gonzalez, in…

Silver Law Group is investigating former National Securities Corporation (CRD# 7569) broker Bingyu Hu (CRD# 5573954) after FINRA permanently barred him and for excessive trading allegations. According to Hu’s FINRA BrokerCheck report, FINRA permanently barred Hu from acting as a broker or otherwise associating with firms that sell securities in…

Silver Law Group is investigating former Stifel, Nicolaus & Company, Incorporated (CRD# 793) broker Assan Faal (CRD#  5863258) after FINRA permanently barred him. According to Faal’s FINRA BrokerCheck report, FINRA permanently barred Faal from acting as a broker or otherwise associating with firms that sell securities in June 2016 after…

Burnham Securities, Inc. (CRD# 22549), the alleged placing agent for a tribal bond scheme as indicated in a recently-filed SEC complaint, has got some interesting and noteworthy connections to the complaint despite recently closing down shop. Burnham Securities has recently come under our firm’s gaze due to not-so-great allegations of…