A National Securities Arbitration & Investment Fraud Law Firm
Stifel Nicolaus & Company broker/adviser William Harrison is involved in a pending customer dispute. William Harrison has spent 29 years in the securities industry and has been registered with Stifel Nicolaus & Company in Boca Raton, Florida since 2009. Palm Beach County is home to a large retirement community and…
Silver Law Group is investigating investor claims for possible securities laws violations of LJM Preservation and Growth Fund (Stock Symbol: LJMIX). The LJM Preservation and Growth Fund (“LJMIX”) is a mutual fund that is marketed and sold with the investment goal of preserving capital even in down markets. The mutual…
James B. Lowther CRD#5854504 Silver Law Group is investigating Sarasota, Florida-based Merrill Lynch broker James B. Lowther following a customer complaint alleging unsuitable investment recommendations and misrepresenting an investment opportunity. According to FINRA’s BrokerCheck report on Lowther, a complaint was received in July of 2017 alleging that Lowther had provided…
Bettye C. Hays CRD#1307813 Silver Law Group is investigating former Mobile, Alabama-based Principal Securities broker Bettye Hays following a customer complaint alleging unsuitable investment recommendations and misrepresenting an investment opportunity. According to FINRA’s BrokerCheck report on Hays, multiple complaints were received in July of 2017 alleging that Hays had provided…
Kim D. Isaacson CRD#855618 Silver Law Group is investigating former Midvale, Utah based Ameriprise Financial Services, Inc broker Kim D. Isaacson after FINRA received a complaint of fraudulent misrepresentation, omission of material facts and unauthorized trading According to FINRA’s BrokerCheck report on Clarke, a complaint alleging misrepresentation and omission of…
Rick D. Konecny CRD#1727785 Silver Law Group is investigating former Chicago, Illinois-based National Securities Corporation broker Rick Konecny, after multiple customer allegations of misrepresentation, unsuitable recommendations and overconcentration were received by FINRA. According to FINRA’s BrokerCheck report on Konecny, a complaint was filed in August of 2017 alleging that during…
Ernest Julius Romer CRD#2311741 Silver Law Group is investigating Sterling Heights, Michigan-based CoreCap broker Ernest J. Romer, after customer allegations of misrepresentation and unsuitable recommendations where received by FINRA and he was subsequently permanently barred from the industry. According to FINRA’s BrokerCheck report on Romer, a customer filed a complaint…
The Silver Law Group and the Law Firm of David Chase have announced their joint investigation into allegations that Fort Lauderdale, Florida based Invest Financial Corporation broker Roger Kroeger made improper loans from a customer account to a family members and/or misappropriated customers funds. Invest Financial Corporation terminated Kroeger on…
Christopher D. Sinkula CRD#2001512 Silver Law Group is investigating former Stuart, Florida-based Janney Montgomery Scott LLC broker Christopher Sinkula, after a customer allegation of misrepresentation and unsuitable recommendations were received by FINRA. According to FINRA’s BrokerCheck report on Sinkula, a complaint was filed in July of 2017 alleging that during…
Lorenzo C. Esteva CRD#2170595 Silver Law Group is auditing former Miami, Florida-based UBS Financial Services broker Lorenzo C Esteva, after multiple customer allegations of unauthorized trading and misrepresentation. According to FINRA’s BrokerCheck report on Esteva, a FINRA complaint alleging unauthorized trading and misrepresentation was filed in July 2016. The complaint…