Articles Posted in Stockbroker Misconduct

Silver Law Group is investigating former Florida-based LPL Financial LLC (CRD# 6413) and Wells Fargo Advisors, LLC (CRD# 19616) (Also known as Wells Fargo Clearing Services) broker William T. Eaton (CRD# 3058469) after FINRA suspended him. According to Eaton’s FINRA BrokerCheck report, FINRA suspended Eaton from acting as a broker…

Silver Law Group is investigating former Pennsylvania-based Metlife Securities Inc. (CRD# 14251), also known as MSI Financial Services, Inc., broker Brian P. Murphy (CRD# 2953503) over allegations that he conducted outside business activities without the permission of his firm. According to Murphy’s FINRA BrokerCheck report, Signator Investors, Inc. (CRD# 468)…

Silver Law Group is investigating form Palm Bay, Florida-based Ameriprise Financial Services, Inc. (CRD# 6363) broker William B. Wyman (CRD# 4155621) after allegations that he sold away from his employing firm surface. According to Wyman’s FINRA BrokerCheck report, FINRA barred Wyman in January 2017 after he failed to request termination…

Silver Law Group is investigating former Coral Gables, Florida broker James P. Scullin (CRD# 1577362) for unauthorized trading in customer accounts among other allegations. According to Scullin’s FINRA BrokerCheck report, UBS Financial Services Inc. (CRD# 8174) terminated Scullin when UBS learned that he actively traded in an undisclosed commodities account…

Silver Law Group is investigating former Connecticut-based Investacorp, Inc. (CRD# 7684) broker Warren M. Rockmacher (CRD# 2005652) after FINRA suspended and then permanently barred the broker. Rockmacher currently has a FINRA arbitration pending that alleges unsuitable recommendations and misrepresentation with damages in the amount of $75,000. On May 12, 2016,…

Silver Law Group is investigation former Florida-based Fidelity Brokerage Services LLC (CRD# 7784) broker Michael J. DeBoer (CRD# 2114067) for allegedly conducting outside business activities without notifying Fidelity and losing his customers a great deal of money in the process. According to DeBoer’s FINRA BrokerCheck, FINRA permanently barred DeBoer in…

Silver Law Group is investigation former Tennessee-based Woodbury Financial Services, Inc. broker David A. Ross (CRD# 3021782) for allegedly failing to disclose an outside business activity and accepting loans from firm clients. According to Ross’s FINRA BrokerCheck report, Woodbury Financial Services (CRD# 421) discharged Ross in April 2016 for the…

Silver Law Group is investigating former Dallas, Texas-based LPL Financial LLC (CRD# 6413) broker Marcos Yanez (CRD# 5353857) over allegations that Yanez misrepresented certain aspects in the sale of a variable life insurance policy amidst other allegations. According to Yanez’s FINRA BrokerCheck report, a customer filed a complaint against Yanez…

Silver Law Group is investigating former Montana-based Western International Securities, Inc. (CRD# 39262) broker Jed E. Tinder (CRD# 1013144) over allegations of unsuitability, recklessness and negligence. According to Tinder’s FINRA BrokerCheck report, Tinder currently has three (3) pending FINRA arbitration complaints.  The first, filed in September 2015, alleges unsuitable recommendations…

Silver Law Group is investigating Boca Raton, Florida-based Revere Securities LLC (CRD# 14178) broker Brett S. Murphy (CRD# 2434384) over allegations that Murphy excessively traded unit investment trusts (“UITs”) in a customer’s account. According to Scott’s FINRA BrokerCheck report, a customer filed a complaint against Scott alleging Scott churned the…