Articles Posted in Unsuitable Investment Advice

Rick D. Konecny CRD#1727785 Silver Law Group is investigating former Chicago, Illinois-based National Securities Corporation broker Rick Konecny, after multiple customer allegations of misrepresentation, unsuitable recommendations and overconcentration were received by FINRA. According to FINRA’s BrokerCheck report on Konecny, a complaint was filed in August of 2017 alleging that during…

Ernest Julius Romer CRD#2311741 Silver Law Group is investigating Sterling Heights, Michigan-based CoreCap broker Ernest J. Romer, after customer allegations of misrepresentation and unsuitable recommendations where received by FINRA and he was subsequently permanently barred from the industry. According to FINRA’s BrokerCheck report on Romer, a customer filed a complaint…

Peter J. Doyle CRD#2370593 Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse. According to FINRA’s BrokerCheck report on Doyle, a complaint was received in July…

Thomas J Borruso CRD#5475175 Silver Law Group is investigating former Melville, New York-based LPL Financial broker Thomas Borruso after a customer allegation of breach of unsuitable investment recommendations and over concentration was received by FINRA. Our attorneys are licensed in NY and routinely represent investors in New York City and…

Silver Law Group continues to investigate investments in oil, gas, and energy companies made by clients through master limited partnerships (“MLPs”) at the recommendation of their brokers. As a result of high oil prices over the past few years, there has been a heightened interest in investments in oil and…

Ricardo F. Guimares CRD#5442981 Silver Law Group is investigating Miami, New Florida-based Wells Fargo broker Ricardo Guimares after a customer complaint alleging unsuitable investment advice. According to FINRA’s BrokerCheck report on Guimares, a complaint was received in August of 2017 relating to his time at Wells Fargo that alleged unsuitable…

Harold J. Lauber CRD#2001512 Silver Law Group is investigating Naples, Florida-based Herbert J. Sims & Co broker Harold Lauber, after a customer allegation of unsuitable investment recommendations was received by FINRA. According to FINRA’s BrokerCheck report on Lauber, a complaint was filed in August of 2017 alleging that during his…

Felipe N. Arrieta CRD#4142123 Silver Law Group is investigating Miami, Florida-based Dakota Securities International broker Felipe Arrieta following a customer complaint alleging unauthorized trading, breach of fiduciary duty and breach of contract in customers’ accounts. According to FINRA’s BrokerCheck report on Arrieta, a complaint was received in April of 2017…

Christopher D. Sinkula CRD#2001512 Silver Law Group is investigating former Stuart, Florida-based Janney Montgomery Scott LLC broker Christopher Sinkula, after a customer allegation of misrepresentation and unsuitable recommendations were received by FINRA. According to FINRA’s BrokerCheck report on Sinkula, a complaint was filed in July of 2017 alleging that during…

Silver Law Group is investigating claims related to Barry Kornfeld and First Financial Tax Group for the sale of investment products issued by the Woodbridge Group of Companies as safe alternatives for income seeking retirees. Barry Kornfeld (“Kornfeld”) is the owner of First Financial Tax Group in Boca Raton, FL…