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“Structured notes” are an investment designed to be structured to align with the investor’s objectives, such as income, growth, risk management, etc. Rather than a single investment, structured notes are a compendium of multiple investments. The notes include a bond element along with other derivatives that adds some risk to…
In a recent interview with Investment News, Silver Law Group founder attorney Scott Silver stated, “The message by the perpetrator of the scam is, ‘I would never cheat my own people.’ Affinity fraud is as old as time and a big problem. Investors trust people in their own community, and…
Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East…
According to FINRA Disciplinary actions for July 2023, 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…
According to FINRA Disciplinary actions for July 2023, 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 Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson…
According to FINRA Disciplinary actions for July 2023, 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 Michael Cutrone…
William Winchester (William Forrest Winchester III CRD# 4404327, aka “Bill Woods”) is a former registered broker and investment advisor whose last employer was Cadaret, Grant & Co., Inc. (CRD# 10641) of Chattanooga, TN. His previous employers include Raymond James Financial Services, Inc. (CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust…
Silver Law Group represents victims of Philip Riposo on a contingency fee basis. Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant &…
Ahmed Gheith (Ahmed Ghassan Gheith, CRD# 5783957, aka Andy Gheith, Anthony Gheith) is a currently registered broker employed with Ceros Financial Services, Inc. (CRD# 37869) of Staten Island, NY. His previous employers include Noble Capital Markets, Inc. (CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. (CRD# 15007),…
According to FINRA Disciplinary actions for May 2023, 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 Albert Foronda…