Silver Law Group is investigating former Nebraska-based Independent Financial Group, LLC (CRD# 7717) broker Matthew L. Geiser after FINRA permanently barred him. According to Geiser’s FINRA BrokerCheck report, FINRA permanently barred Geiser from acting as a broker or otherwise associating with firms that sell securities to the public in November…
Articles Posted in Stockbroker Misconduct
Arizona LPL Financial Broker Dominic T. DeBruin Under Investigation After FINRA Bar
Silver Law Group is investigating former Arizona-based LPL Financial LLC (CRD# 6413) broker Dominic T. DeBruin (CRD# 2788196) after FINRA permanently barred the broker. According to DeBruin’s FINRA BrokerCheck report, FINRA permanently barred DeBruin from acting as a broker or otherwise associating with firms that sell securities to the public.…
Minnesota TradingBlock Broker Joshua D. Arnold Under Investigation
Silver Law Group is investigating former TradingBlock (CRD# 128605) broker Joshua D. Arnold (CRD# 828189) for recent allegations of negligence and unsuitable recommendations among others. According to Arnold’s FINRA BrokerCheck report, Arnold has thirteen (13) disclosures. His most recent was a FINRA arbitration filed in September 2016, and it alleges…
California Kestra Broker Tom Puentes Under Investigation Over Alleged Unauthorized and Unsuitable Transactions in Puerto Rican Bonds
Silver Law Group is investigating California-based Kestra Investment Services, LLC (CRD# 42046) broker Tom A. Puentes (CRD# 1713812) amidst 23 disclosures on his FINRA BrokerCheck report. According to Puentes’ FINRA BrokerCheck report, Puentes has a total of 23 disclosures, with 15 settling for over $750,000. A large majority of the…
Miami-based Broker Fernando de la Lama Merino Under Investigation
Silver Law Group is investigating former Miami, Florida EFG Capital International (CRD# 40118) broker Fernando de la Lama Merino (CRD# 2257749) after FINRA permanently barred him. According to Merino’s FINRA BrokerCheck report, FINRA initiated a regulatory action against Merino in October 2016. The action states, according to Merino’s BrokerCheck report,…
Former Las Vegas Ameriprise Broker Cheryl L. Wallace Discharged for Alleged Unauthorized Trading
Silver Law Group is investigating former Las Vegas, Nevada-based Ameriprise Financial Services, Inc. (CRD# 6363) broker Cheryl L. Wallace (CRD# 4839255) after she was discharged by Ameriprise for unauthorized trading among other allegations. According to Wallace’s FINRA BrokerCheck report, Wallace was discharged from Ameriprise in February 2016 after she allegedly…
San Francisco, California Broker Stephen D. Grant Under Investigation After FINRA Bar
Silver Law Group is investigating former San Francisco, California-based broker Stephen D. Grant (CRD# 2447319) after FINRA permanently barred him. According to Grant’s FINRA BrokerCheck report, FINRA permanently barred Grant from acting as a broker or otherwise associating with firms that sell securities to the public after Grant failed to…
Former Revere Securities Broker Noel Fleming Under Investigation After FINRA Bars Him
Silver Law Group is investigating former Boston-based Revere Securities LLC (CRD# 14178) broker Noel Fleming (CRD# 2030824) after FINRA permanently barred him. According to Fleming’s FINRA BrokerCheck report, FINRA permanently barred Fleming in July 2016 when he failed to respond to a FINRA inquiry. Fleming’s BrokerCheck reflects that he racked…
Former New York Ridgeway & Conger Broker Kenley Brisard Under Investigation
Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…
National Securities Corporation Broker Leigh M. Garber Suspended by FINRA
Silver Law Group is investigating New Woodstock, New York-based National Securities Corporation (CRD# 7569) Leigh M. Garber (CRD# 2768572) after FINRA fined the broker $10,000 and suspended her for three months. According to Garber’s FINRA BrokerCheck report, in October 2016, FINRA and Garber entered into an Acceptance, Waiver & Consent…