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Robert Shapiro, president and CEO of Woodbridge Group of Companies (“Woodbridge”), has reportedly refused to answer questions from the Securities and Exchange Commission (“SEC”) relating to its investigation of Woodbridge’s business practices. In a letter to the SEC, filed in federal court papers, Mr. Shapiro’s lawyer writes, “Upon consideration of…

CEO and President of Woodbridge Group of Companies (“Woodbridge Group”) Robert Shapiro is allegedly invoking his Fifth Amendment right to remain silent after the SEC has made repeated requests for documents from him and Woodbridge Group. The SEC’s Subpoena for Documents Against Woodbridge Group The SEC first launched an investigation…

James E Lyons CRD#1020397 Silver Law Group is investigating former Shreveport, LA-based Raymond James broker James E Lyons after a client filed a FINRA complaint alleging unauthorized trading. This complaint alleged damages of $1,200,000 According to FINRA’s BrokerCheck report on Lyons, the complaint was filed in April of 2016 and…

Michael P Mctigue CRD#3031287 Silver Law Group is investigating former Boca Raton, Florida-based Newbridge Securities Corp broker Michael P Mctigue. Following his voluntary resignation from his firm and allegations of churning and excessive trading. According to FINRA’s BrokerCheck report on Mctigue, He resigned from Newbridge Securitas in August of 2017…

Richard S. Botkin CRD# 1571729 Silver Law Group is investigating Former Roseville, California-Morgan Stanley broker Richard S. Botkin after a allegations of outside business activity and illicit private placement investments. According to FINRA’s BrokerCheck report on Botkin, he sought approval from his member firm to participate in an outside business,…

William J. Paynter CRD# 2835535 Silver Law Group is reviewing Scottsdale, Arizona-based Wells Fargo broker William J Paynter after a customer filed a FINRA complaint alleging unsuitable investments. According to FINRA’s BrokerCheck report on Paynter, a complaint was filed alleging unsuitability during his time at Morgan Stanley with respect to…

Mark J. Flanagan CRD#1949836 Silver Law Group is investigating former Highland Park, Illinois-based Citigroup Global Markets broker Mark J. Flanagan after he failed to respond to an official request for information and was temporarily suspended by FINRA. According to FINRA’s BrokerCheck report on Flanagan, a FINRA complaint alleging unauthorized trading…

Ross A Stein CRD# 19616 Silver Law Group is investigating New York-based Wells Fargo broker Ross A Stein after a customer filed a complaint against him related to the purchase of Puerto Rico municipal bonds. According to Stein’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in June…

Lorenzo C. Esteva CRD#2170595 Silver Law Group is auditing former Miami, Florida-based UBS Financial Services broker Lorenzo C Esteva, after multiple customer allegations of unauthorized trading and misrepresentation. According to FINRA’s BrokerCheck report on Esteva, a FINRA complaint alleging unauthorized trading and misrepresentation was filed in July 2016. The complaint…

Mack L. Miller CRD#2822317 Silver Law Group is investigating New York, New York-based former Dawson James Securities Broker Mack L. Miller after multiple clients filed FINRA complaints alleging misrepresentation and excessive trading in client accounts. According to FINRA’s BrokerCheck report on Miller, a FINRA complaint alleging misrepresentation and excessive trading…