Articles Posted in FINRA Arbitration

Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East…

Supply chain financing is a vital factor keeping the flow of goods and services moving worldwide. Credit Suisse offered its investment clientele a variety of investments, including supply chain financing funds, or SCFF. The basis of this investment is the early payment of invoices to suppliers for a fee. This…

According to FINRA Disciplinary actions for July 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 July 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   Michael Borning   Pruco Securities, LLC   Wells Fargo Clearing Services, LLC   Conway Donaldson…

According to FINRA Disciplinary actions for July 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   Michael Cutrone…

Matthew Boehm (Matthew John Boehm CRD# 4418029) is a registered broker and investment advisor currently employed with Woodbury Financial Services, Inc. (CRD# 421) of East Peoria, IL. He was previously employed with Lion Street Advisors, LLC (CRD# 167610 as an investment advisor), and also of East Peoria, and Lion Street…

Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West…

Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy. If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this…

Silver Law Group is investigating claims involving the AllianceBernstein Options Advantage Program, where investors were offered the opportunity to earn additional return on already-invested funds. The firm’s financial advisors allegedly sold this program as low risk and low volatility, but many investors suffered significant losses. Many investors claim they were…

What do you do if you’re a citizen of a foreign country and a broker in the US sold you securities that weren’t the solid investment they claimed? The securities law attorneys at Silver Law Group are preparing to act against those brokers and broker-dealers who were involved. These individuals…