Articles Posted in Unsuitable Investment Advice

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…

Jack F. Bruscianelli CRD#2113986 Silver Law Group is looking into Chicago, Illinois-based National Securities Corp. broker Jack F. Bruscianelli after a FINRA complaint was brought against him alleging unsuitable investments in private placements. According to FINRA’s BrokerCheck report on Bruscianelli, a FINRA complaint alleging unsuitability relating to private placements was…

Bao Quoc Vu CRD# 5090067 Silver Law Group is looking into former TD Ameritrade broker Bao Quoc Vu after a FINRA complaint alleging unsuitable investment recommendations related to Aequitas promissory notes was filed against him. According to FINRA’s BrokerCheck report on Vu, a FINRA complaint was filed in June of…

William J. Paynter CRD# 2835535 Silver Law Group is reviewing Scottsdale, Arizona-based Wells Fargo broker William J Paynter after a customer filed a FINRA complaint alleging unsuitable investments. According to FINRA’s BrokerCheck report on Paynter, a complaint was filed alleging unsuitability during his time at Morgan Stanley with respect to…

Mark J. Flanagan CRD#1949836 Silver Law Group is investigating former Highland Park, Illinois-based Citigroup Global Markets broker Mark J. Flanagan after he failed to respond to an official request for information and was temporarily suspended by FINRA. According to FINRA’s BrokerCheck report on Flanagan, a FINRA complaint alleging unauthorized trading…