Articles Posted in Stockbroker Misconduct

Michael Martino (Michael Christopher Martino CRD#: 2579146) is a currently registered broker with Four Points Capital Partners LLC (CRD#: 43149) of New York, NY. His previous employers include Wedbush Securities Inc. (CRD#:877) of Tarrytown, NY, Brookstreet Securities Corporation (CRD#:14667) of White Plains, NY, and Emerson Bennett & Associates (CRD#:36171, expelled by…

Broker Matthew Platnico (Matthew Eric Platnico CRD:#2102086) is a registered broker and investment advisor currently employed with Allied Millennial Partners, LLC (CRD#: 16569) of New York, NY. As an investment advisor he is registered with Millennial Advisers, LLC. (CRD#:170847), also of New York City. His previous employers include Arete Wealth…

Investors in Northstar Financial Services (Bermuda) are beginning to realize that their investments in the companies’ products are unlikely to deliver as promised by their financial advisers. Northstar is now in bankruptcy and investors are expected to lose a substantial percentage of their principal. Unfortunately, Northstar—which invested in insurance and…

Silver Law Group is speaking with investors who have suffered losses investing in Northstar Financial Services (Bermuda) after their SunTrust brokers recommended the investment. Since purchasing Northstar investments, investors have experienced suspended monthly income payments, illiquidity and inability to surrender policies, and have lost virtually the entirety of their investments…

William Friedman (William Sidney Friedman CRD#: 2475502) is a former registered broker and investment advisor whose last known employer was Pinnacle Investments, LLC (CRD#:142910) of Boca Raton, FL. His previous employers include Woodstock Financial Group, Inc. (CRD#:38095), Newbridge Securities Corporation (CRD#:104065), and Brookstreet Securities Corporation (CRD#:14667), all of Boca Raton.…

Scott Silver was interviewed in a recent InvestmentNews article about Silver Law Group’s FINRA arbitration claims against the broker dealers who sold GPB Capital private placements to investors. GPB Capital Holdings is a New York-based alternative asset management firm that raised $1.8 billion since it was founded in 2013 by…

Daniel Raupp (Daniel Phillip Raupp) is a broker currently registered with Concorde Investment Services in their Port Jefferson, New York branch office. Before joining Concorde, Raupp was previously registered with J.P. Turner & Company, LLC, Gunallen Financial, Inc, and Harrison Securities, Inc., which FINRA expelled in 2004. Daniel Raupp Disclosures…

According to FINRA Disciplinary actions for November 2020, 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   John Evans…

According to FINRA Disciplinary actions for November 2020, 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  William Baris   Network 1 Financial Securities Inc.   Joseph Stone Capital, LLC   Riza Hernandez…

According to FINRA Disciplinary actions for November 2020, 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. However, these individuals remain bound by…