Articles Posted in FINRA Arbitration

Trevor Bradner Rahn (CRD: #2196155) is a former registered broker and investment advisor whose last employer was J.P. Morgan Securities LLC (CRD#:79) of Los Angeles, CA. His previous employers include Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, Morgan Stanley & Co., Incorporated (CRD#:8209) and Morgan Stanley DW INC.…

Antoine Nabih Souma (CRD: 4210987) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills,…

Debra Rae Lambert (CRD: 2238553) is a previously registered broker and investment advisor whose last employer was Raymond James & Associates, Inc. (CRD#:705) of The Villages, FL. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. G. Edwards & Sons, Inc. (CRD#:4, both of Smithtown, NY, and…

Andrew Stanley Krakauer (CRD: 1613159) is a registered broker and investment advisor employed by AXA Advisors, LLC (CRD#: 6627) of Woodbury, NY. His previous employer was The Equitable Life Assurance Society Of The United States (CRD#:4039) of New York, NY. He has been in the industry since 1987. A customer…

Silver Law Group has filed FINRA arbitration claims on behalf of clients who have invested with Flynn Wealth Management of Greer, South Carolina. Flynn Wealth Management was owned by now-barred broker James Flynn (CRD# 3082615) and operated under FINRA-registered firm Voya Financial Advisors. As the firm that approved the investments…

Silver Law Group has filed another FINRA arbitration claim against SagePoint Financial to recover losses for a client who invested $100,000 in GPB Capital on the advice of her broker. Silver Law Group filed the first arbitration claim against SagePoint Financial to recover GPB investment losses, and continues to file…

About James Flynn Before being permanently barred by FINRA, James Flynn of Greenville, South Carolina, was a broker who caused serious damage to many clients. Flynn’s publicly available FINRA BrokerCheck report shows an astounding 40 disclosures, including bankruptcy, tax liens, employment separations, and customer disputes alleging false and misleading representations…

According to FINRA Disciplinary actions for August 2019, 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   Patrick Auckland   TIAA-VREF Individual & Institutional Services   Morgan Stanley   Matthew DiNinno  …

Silver Law Group continues to file FINRA arbitration claims on behalf of clients against Voya Financial Advisors regarding its former employee James Flynn (CRD# 3082615) of Greenville, South Carolina. The claims requests compensatory damages for our clients and allege that Voya failed to supervise Flynn’s conduct while he was working…

Silver Law Group is investigating Sonim Technologies, Inc. (SONM), a publicly-traded mobile phone company, for possible violations of federal securities laws. Sonim Technologies Issues Revised Financial Guidance On September 10, 2019, Sonim announced updated guidance for fiscal 2019 which stated that its net revenue would be lower than 2018 net…