A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group and The Law Firm of David R. Chase have filed their second FINRA arbitration claim against Independent Financial Group alleging its broker recommended the services of an individual who was running a Ponzi scheme. According to the securities arbitration complaint, the Claimant’s elderly father became a client…
Dominick Joseph Diorio, Jr. (CRD #2447817) is a registered broker currently employed with Aegis Capital Corp. (CRD #15007) of Melville, NY. He was previously employed with Global Arena Capital Corp (CRD #16871) of New York, NY, Prestige Financial Center, Inc. (CRD #30407), also of Melville, and S.W. Bach & Company…
Craig Aaron Bonn (CRD #2280460) is a currently registered FINRA broker employed with National Securities Corporation (CRD #7569) of New York, NY. He was previously registered with Laidlaw & Company (UK) LTD. (CRD #119037) and Sands Brothers & Co., LTD. (CRD #26816), both also of New York, NY. He has…
Silver Law Group is investigating former Greenville, South Carolina-based broker James T. Flynn (CRD# 3082615) after FINRA permanently barred the broker. FINRA Bars James T. Flynn After Numerous Customers File FINRA Arbitrations According to Flynn’s FINRA BrokerCheck report, FINRA permanently barred Flynn in June 2018 after he failed to respond…
Silver Law Group has filed a FINRA arbitration claim against Wells Fargo Clearing Services, LLC (Wells Fargo) after its broker allegedly recommended unsuitable, high-risk investments to his elderly customers. According to the securities arbitration complaint, the elderly Claimants were immigrants with the equivalent of a third grade education. The Claimants…
Laurence Green (CRD #604082) is a formerly registered broker. His last registration was with Herbert J. Sims & Co. Inc. (CRD #3420) of Ellijay, GA, and was with them from 2002 until January of 2018. His previous employers include Ryan, Beck & Co., LLC. (CRD #3248) of Florham Park, NJ,…
Thomas Joseph Logue (CRD #1700554) is a former registered broker and investment advisor who was last employed by American Independent Securities Group, LLC (CRD #135288) of Hinsdale, IL. His previous employers include Investors Capital Corp. (CRD #30613) and First Midwest Securities, Inc. (CRD #21786), also of Hinsdale. No current employment…
Patrick Maddren (CRD #4665903) is a currently registered broker with Westpark Capital, Inc. (CRD #39914) of Fort Lauderdale, FL. His previous employers include Laidlaw & Company (UK) LTD. (CRD #119037), also of Fort Lauderdale, Dawson James Securities, Inc. (CRD #130645) of Boca Raton, FL, and Prestige Financial Center, Inc. (CRD…
Stephen Allen Murray (CRD #343722) is a former registered broker and investment advisor who was last employed by Raymond James & Associates, Inc. (CRD #705) of Palm Beach Gardens, FL. He was previously employed by Morgan Keegan & Company, Inc. (CRD #4161) of Jupiter, FL and First Financial Equity Corporation…
James Travis Flynn (CRD #3082615) is a former registered broker and investment advisor who has been suspended by FINRA after he failed to respond to a request for information. Flynn’s suspension is effective 6/25/2018, and unless he complies with the requests for information, he will be automatically barred on 9/4/2018.…