Articles Posted in FINRA Arbitration

John Bryant (CRD #3202048) was recently discharged by Wells Fargo over concerns about similar trading strategies in multiple customer accounts and has received a customer dispute according to publicly available records published by the Financial Industry Regulatory Authority (FINRA). John Bryant has been registered with American Portfolios Financial Services in…

Here’s what you need to do now Elder financial fraud continues to be a lucrative scheme in America, which is why seniors and their loved ones always need to keep their guard up. We have previously discussed how to spot fraud and what some financial institutions are doing to prevent…

Silver Law Group attorneys have won an award against Curtis D. Milakovich, formerly of Kovack Securities Inc. on behalf of our clients through FINRA arbitration. FINRA Awards Our Clients Damages Due to Curtis D. Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000…

Our firm has won a $1.5 million FINRA arbitration award against a Texas-based brokerage firm that sold private placements in an oil and gas business venture to our client. The FINRA arbitration award included a significant million dollars in punitive damages. Silver Law Group continues to represent other investors in…

Retirement planning firm owner allegedly paid for lavish living expenses and more with elderly investors’ money It has happened again. The Securities Exchange Commission (SEC) has uncovered yet another alleged Ponzi scheme targeting the most vulnerable of investors: the elderly. Clifton Stanley of Galveston, Texas is accused of cheating his…

Vicente Davila has spent eight years in the securities industry and was most recently registered with Morgan Stanley in Houston, Texas (2016 – 2018). Previous registrations include Merrill Lynch and Barclays Capital. Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser…

Alan New has been registered with NYLife Securities LLC in Fort Wayne, IN from 2004 to August 2016. According to his BrokerCheck Report, New has been the subject of five customer complaints in 2018. April 2018. “Plaintiff alleges that material facts and the risks associated with an unregistered investment purchased…

Frank Dietrich was registered with Quest Capital Strategies, Inc. in Lake Forest, California from March 2013 to April 2018, when he was terminated regarding, “Failure to fully disclose outside business activities and sale of unapproved product.”  Dietrich sold Woodbridge notes to multiple investors. Dietrich has been the subject of six…

David Ridenour has been registered with Wells Fargo in Edmond, Oklahoma since 2012. He previously worked for Morgan Stanley Smith Barney. Financial Industry Regulatory Authority (FINRA) CRD records show that Oklahoma-based Wells Fargo Clearing Services broker/adviser David Ridenour has received resolved or pending customer disputes. According to his BrokerCheck report,…

Broker Keith Michael D’Agostino (CRD #2837860, also spelled “Dagostino”) is currently registered with Aegis Capital Corporation (CRD #15007) in Melville, NY since 2014.  He has been in financial services since 2002. D’Agostino’s most recent complaint was filed on May 11, 2017, with the client alleging “poor performance.” The client requested…