Articles Posted in Securities Arbitration

Broker William Slone’s most recent complaint alleges unauthorized securities trading. Acting as a securities investment broker since 1969, William Slone faces yet another customer complaint regarding his activities. In November 2015, Slone consented to the sanctions and the entry of the findings that he effected discretionary transactions in the account…

This New York broker is permanently barred from the securities industry. In November 2015, New York broker Joshua Gladtke consented to the sanction and entry of findings in a FINRA investigation. As a result, Gladtke is now permanently barred from the securities industry. With 13 years in the securities industry,…

Michael Highfill has been permanently barred from the securities industry A former Merrill Lynch broker, Michael Highfill was permanently barred from the securities industry in July of 2015 after 16 years in the industry. His most recent position was with Merrill Lynch in Ridgeland, Mississippi. Before Merrill Lynch, he was…

Numerous customer complaints surface over the course of his work history with various firms On August 4, 2015, Honetta C. Kao was suspended by the FINRA for failure to respond to their request for information. And in November, he was permanently barred from acting as a broker or otherwise associating…

As of August 2015, Broad is permanently barred from the securities industry by FINRA According to his FINRA BrokerCheck report, Bennett Broad, who worked in the financial industry for more than 30 years, has amassed a 15-year history of allegations against him from clients. The complaints, which total 28, compelled…

After 17 years in the securities industry, Irizarry has been permanently barred Jose Irizarry began working in the financial services industry in the early 1990’s. During his long career, he worked for various firms, including Merrill Lynch, Pierce, Fenner & Smith in New York, PaineWebber in New Jersey and most…

Securities regulators state that professionals should help seniors avoid being scammed When it comes to investment scams, seniors are easy targets. According to a recent report from the North American Securities Administrators Association (NASAA), seniors were targeted in one-quarter of the enforcement actions in 2014, in cases where states track…

Investigation follows termination from LPL Financial Jon Lawrence Cox, who has been in the securities industry since June 1990, according to FINRA documents, has been barred as of April 29 after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations…

Scott Silver, Managing Partner of Silver Law Group, is the current co-chair of the Securities and Financial Fraud group of the American Association of Justice (“AAJ”).  On July 28, 2014, during the 2014 AAJ Annual Convention in Baltimore, Maryland, Scott gave a well-received presentation titled “How to Win an Alternative…

A former UBS broker recently won a FINRA arbitration claim against UBS Financial Services for misleading him and his clients about the risks associated with structured notes tied to Lehman Brothers Holdings, which suffered significant losses in 2008.  Silver Law Group primarily represents investors in claims against UBS and other…