A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating former Salinas, California-based, Independent Financial Group broker David Marshall after some customers have come forward alleging he recommended his customers invest with unregistered brokers. According to Marshall’s FINRA BrokerCheck report, Marshall was registered with Independent Financial Group at its Salinas, California branch from July 2015…
On February 26, 2019, the SEC announced charges and an asset freeze against the people behind a South Florida investment scheme. One of the people behind the scheme has a felony conviction, was in prison for 20 years, and is now out on parole. Castleberry Financial Services Group LLC, managed…
It’s one thing when a company terminates your employment. It’s another thing when the company causes you to lose business. John L. Perry and Robin Johnson are two former financial advisors for Wells Fargo that have brought a complaint against the company. After news broke of Wells Fargo’s extensive misconduct,…
UBS has marketed a so-called “Yield Enhancement Strategy” (YES) to certain of its clients as a safe way to increase the return on their money. Unfortunately, though marketed as low-risk, their Yield Enhancement Strategy was quite risky and ended up causing some investors to lose money. What was supposed to…
A federal securities class action lawsuit has been filed on behalf of investors against cloud computing company Fusion Connect, Inc. (FSNN). If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses. Investors who purchased shares of Fusion…
Silver Law Group is investigating AAC Holdings, Inc. (AAC), a publicly-traded company that provides substance abuse treatment services, regarding potential violations of federal securities laws. On April 16, 2019, AAC said that it would be correcting errors in its financial statements concerning revenue, estimates of accounts receivable, and provision for…
The Wall Street Journal reported that Fidelity Investments is the subject of a Labor Department probe and a lawsuit by an investor in a T-Mobile 401(k) plan, regarding the disclosure of an “infrastructure fee” it charges mutual funds for using their FundsNetwork asset management platform. The lawsuit claims that Fidelity…
Broker William Matthew Crafa and wealth management firm Royal Alliance Associates, Inc are the subject of a FINRA claim on behalf of investors regarding the solicitation and recommendation to purchase GPB Capital Holdings private placement securities. GPB Capital Holdings, a New York-based “alternative asset investment firm” that invests in car…
GPB Capital Holdings is being investigated by the state of Massachusetts, FINRA, the SEC, the New Jersey Bureau of Securities, and the FBI. If that weren’t enough, the New York City Business Integrity Commission, which oversees the city’s private trash industry, is also investigating the company. The company says it…
In February, we told you about three investigations focused on GPB Capital Holdings. The first is by the state of Massachusetts, with two additional separate investigations by FINRA and the SEC. On Thursday, February 28th, the FBI, accompanied by officials from the New York City Business Integrity Commission, paid an…
