A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for August 2017, 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 Clifford Eugene Alexander III Summit Brokerage Services, Inc. Cantella & Co., Inc. …
According to FINRA Disciplinary actions for August 2017, 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 Dimitris Alifragis…
According to FINRA Disciplinary actions for July 2017, 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 Thomas Michael DiLello, Jr. LPL Financial LLC Atlantic Capital Advisors Niaz Elmazi…
According to FINRA Disciplinary actions for July 2017, 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 Ricardo Alonzo,…
The New Jersey Bureau of Securities has levied a large fine against LPL Financial LLC, one of the largest independent broker-dealer in the United States. The $950,000 fine also requires LPL to donate $25,000 to the New Jersey state investor education fund. The Bureau of Securities imposed these judgments against…
Silver Law Group is investigating Kingwood, Texas-based brokerage firm D.H. Hill Securities, LLLP (CRD# 41528) (“D.H. Hill”) after FINRA sanctioned the firm for its conduct concerning the firm’s role as underwriter of a real estate investment trust (“REIT”). D.H. Hill Securities Enters into a Settlement with FINRA D.H. Hill entered…
Silver Law Group is investigating former New York-based Joseph Stone Capital L.L.C. (CRD# 159744) broker David G. Menashe (CRD# 5727269) after the State of Montana sanctioned him for excessive and unauthorized trading. Menashe’s CRD Report and the Montana Regulatory Decision According to Menashe’s FINRA BrokerCheck report, the Office of the…
According to FINRA Disciplinary actions for June 2017, 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 Miguel Angel…
According to FINRA Disciplinary actions for June 2017, 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 Kimberly Aylesworth Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc. Roger…
According to FINRA Disciplinary actions for June 2017, 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: NAME FORMER EMPLOYERS Devin Barkley…