Articles Posted in Securities Arbitration

Investment broker Angel Edgardo Aquino-Velez (CRD#: 2687333) is no longer working as a broker, according to FINRA. Velez was previously registered as a broker, with the last place of employment listed as Morgan Stanley (CRD# 149777). His name is also listed as “Angel Edgardo Aquino,” “Angel E AquinoVelez” and, “Angel…

FINRA suspended Christopher Robert Hickman in June of 2017 for six months. This suspension is a result of Hickman’s violations of NASD Rule 2310, and FINRA Rules 2111 and 2010, regarding the unsuitable trading of Unit Investment Trusts, or “UITs.” Hickman neither denied nor confirmed the findings, and consented to…

On December 8, 2017, the University of Miami School of Law held its annual class action forum.  Of particular interest was hot topics in class action and mass torts plus a keynote speech from the attorney representing many NFL players in litigation relating to concussions. Scott Silver is a 1996…

Jeffrey L. Mischel CRD# 1374486 Silver Law Group is examining Carlsbad, California-based Wells Fargo broker Jeffrey L. Mischel after multiple clients filed FINRA complaints alleging misrepresentation relating to the purchase of Puerto Rico municipal bonds. According to FINRA’s BrokerCheck report on Mischel, a FINRA complaint alleging issues investing in Puerto…

Robert H. Keller CRD#2168444 Silver Law Group is reviewing former Beverly Hills, California-based Morgan Stanley broker Robert H. Keller after he was discharged for trading in low priced securities and inaccurately designating trades as unsolicited. According to FINRA’s BrokerCheck report on Keller, Morgan Stanley discharged Keller in July of 2017…

If you decide to use FINRA’s dispute resolution process to resolve a dispute with a broker or financial firm, you have two options, arbitration and mediation. When investors have a dispute with a brokerage firm registered with FINRA that cannot be settled through mutual agreement or outside settlement, the case…

Crowdfunding, like any investment, has both risks and benefits. Before investing, make sure you understand both. As of May 2016, investors are able to buy stock in early-stage companies through crowdfunding, a system in which companies raise small amounts of money through many people, typically on internet-based platforms. To many,…

Ralph Savoie refused to respond to requests for information from the FINRA. After 40 years in the financial services industry, Ralph Savoie has been permanently barred by the FINRA. His most recent place of employment was as a broker for the firm Cambridge Investment Research in Metairie, Louisiana where he…

You think your financial advisor has committed investment fraud, when should you lawyer up? A securities arbitration attorney can be an essential asset if you have questions about what a financial advisor is doing with your money, have been under-informed or misinformed about your investments, or are facing an upcoming…

How much time do you have to take legal action against a fraudulent broker? It depends… If you’ve only recently realized that you were defrauded by your broker or financial advisor, or have been waiting until obtaining the proper evidence to take legal action against them, it’s essential to know…