A National Securities Arbitration & Investment Fraud Law Firm
In an article in Investment News, Silver Law Group founder Scott Silver weighed in on a FINRA arbitration action involving a broker-dealer and financial advisor who sold a client GWG Holdings’ illiquid L-Bonds. “The arbitrators in these FINRA claims over the past decade have been seeing cases around product suitability…
According to FINRA Disciplinary actions for March 2024, 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. However, these individuals remain bound by…
Los bufetes de abogados Silver Law Group y David R. Chase P.A. han recuperado millones de dólares para los inversores de Northstar Bermuda en los Estados Unidos y en el extranjero, y recientemente presentaron una reclamación para recuperar una inversión de 2 millones de dólares en nombre de un cliente.…
Silver Law Group founder and managing partner Scott Silver has been featured in an article on Investment News’ website where he discusses FINRA’s increased scrutiny of brokers and investment advisors who recommended and sold high-risk private placements and other investments from Dallas-based GPB Private Holdings. Scott has been working with…
Silver Law Group is pleased to announce that it has won a FINRA arbitration award on behalf of two Boston, Massachusetts investors against AGES Financial Services. The investors sought legal representation after suffering substantial losses investing in GWG, a company which claimed to profit from investing in life insurance policies…
According to FINRA Disciplinary actions for October 2023, 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 Carl Birkelbach Birkelbach Investment Securities, Inc. Ronald Diaz Morgan Stanley J.P.…
According to FINRA Disciplinary actions for October 2023, 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. However, these individuals remain bound by…
According to FINRA Disciplinary actions for October 2023, 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 David Burch…
According to FINRA Disciplinary actions for September 2023, 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 Laurence Allen NYPPEX, LLC Northeast Securities, Inc. Joseph Desapio Spartan Capital…
According to FINRA Disciplinary actions for August 2023, 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 Dennis Ayre Hilltop Securities Inc. Oppenheimer & Co. Inc. Bruce Davis …