A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating banks and brokerage firms for failing to provide competitive interest rates to its customers in this high-interest-rate environment. When customers open accounts, certain firms enroll accountholders in Bank Sweep Programs, which may incur significant expenses for customers while benefiting the banks. If you believe you’ve…
Eugene Thompson (Eugene Cebron Thompson IV CRD# 4350479, aka Bron Thompson, EC Thompson IV) is a registered broker and investment advisor currently employed with Capital Investment Group, Inc. (CRD# 14752) of Dunn, NC. He was previously employed with Wells Fargo Advisors, LLC (CRD# 19616) of Wilmington, NC, as both a…
Patrick Mendenhall (Patrick Michael Mendenhall CRD# 1068809) is a registered broker and investment advisor currently registered with USCA Securities LLC (CRD# 103789) of Houston, TX. His previous employers include USCA RIA LLC (CRD# 152170) and UBS Financial Services Inc. (CRD# 8174), also of Houston, and Smith Barney, Harris Upham &…
Silver Law Group, a nationally-recognized class action law firm representing shareholders, is investigating Sculptor Capital Management (SCU) regarding its sale to Rithm Capital Corp and potential breach of fiduciary duty claims against the board of directors of Sculptor. If you own shares of Sculptor Capital Management (SCU), Silver Law Group…
Michael Raineri (Michael Patrick Raineri CRD# 4817558) is a former broker and investment advisor whose last employer was Securities America, Inc. (CRD# 10205) of Seattle, WA. His previous employers were KMS Financial Services, Inc. (CRD# 3866), Cetera Advisors LLC (CRD# 10299) and Pacific West Securities, Inc. (CRD# 6390), all of…
Silver Law Group’s managing partner Scott Silver has recently been awarded the designation of an America’s 100 High Stakes Litigator for the Southern Florida region. Every year, America’s Top 100 recognizes 100 attorneys in each state and highlighting their accomplishments. Using a proprietary selection methodology, along with specific criteria, the…
According to FINRA Disciplinary actions for December 2021, 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 William Friedman…
Cynthia Komarek & Grant Birkley, two brokers formerly registered with SagePoint Financial of Barrington, IL, were terminated on the same day after the firm discovered that they were engaged in making referrals to an outside asset manager who was not approved by the board. Cynthia Komarek (CRD#: 1188714, aka (Cynthia…
The Wall Street Journal reported that Fidelity Investments is the subject of a Labor Department probe and a lawsuit by an investor in a T-Mobile 401(k) plan, regarding the disclosure of an “infrastructure fee” it charges mutual funds for using their FundsNetwork asset management platform. The lawsuit claims that Fidelity…
Silver Law Group represented the Claimant in a FINRA arbitration claim against Texas E&P Partner, Inc. and Mark Plummer. Scott Silver, managing partner of Silver Law Group, a leading securities and investment fraud law firm, said “the Award is significant because we have seen a rise in cases involving private…