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Silver Law Group is investigating FINRA-barred broker John Vernon Heath (CRD# 2331052) for stealing client funds and recommending unsuitable investments. Heath was employed most recently at Independent Financial Group, LLC in Bloomington, Minnesota.  Independent Financial Group then discharged Heath after he admitted to wrongfully taking client funds, according to his…

A majority of these representatives may have official complaints filed against them WestPark Capital Inc. is set to acquire some of 109 registered financial representatives from Newport Coast Securities, a small, independent broker-dealer based in Irvine, CA. It’s notable that 63% of Newport’s representatives have at least one “disclosure event”…

Silver Law Group has filed a FINRA arbitration complaint against RBC Capital Markets, LLC (CRD# 31194) for unsuitable recommendations to invest in oil and gas securities. Our client, an older individual, had been working with her RBC broker, Lisa J. Lowi (CRD# 1347790), for many years.  Our client alleges she…

If you decide to use FINRA’s dispute resolution process to resolve a dispute with a broker or financial firm, you have two options, arbitration and mediation. When investors have a dispute with a brokerage firm registered with FINRA that cannot be settled through mutual agreement or outside settlement, the case…

According to FINRA Disciplinary actions for July 2016, 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   Gordon W.…

According to FINRA Disciplinary actions for June 2016, 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   Aaron Carter…

According to FINRA Disciplinary actions for June 2016, 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   Vladimir Belyaev…

According to FINRA Disciplinary actions for May 2016, 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   Dmitry Borochin   Wells Fargo Advisors, LLC   Chase Investment Services Corp.   Randy Lee…

According to FINRA Disciplinary actions for May 2016, 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   Steven Angelo…

According to FINRA Disciplinary actions for May 2016, 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   Gordon W.…