Articles Posted in Unsuitable Investment Advice

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…

Ross A Stein CRD# 19616 Silver Law Group is investigating New York-based Wells Fargo broker Ross A Stein after a customer filed a complaint against him related to the purchase of Puerto Rico municipal bonds. According to Stein’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in June…

Mark F. Augusta CRD# 1333913 Silver Law Group is investigating potential  customer complaints against Del Mar, California-based Hilltop Securities Inc. broker Mark F Augusta after a former client was issued a large monetary award settlement. According to FINRA’s BrokerCheck report on Augusta, a client was awarded over 1.7 million in…

Donald A. Devito CRD# 1096364 Silver Law Group is investigating former Albany, New York-based Wells Fargo broker Donald A Devito after multiple FINRA complaints alleging unauthorized trading and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Devito, a FINRA complaint was filed in January of 2017 alleging unauthorized trading…

Paul A. Falcon CRD# 2464566 Silver Law Group is reviewing customer complaints against Boca Raton office of Aegis Capital Corp. broker Paul A. Falcon that alleges he exercised unauthorized trading in client brokerage accounts, provided unsuitable investment recommendations and engaged in excessive trading According to FINRA’s BrokerCheck report on Falcon,…

Daniel H Morris (CRD#1046760) Silver Law Group is reviewing former Connecticut-based Oppenheimer & Co broker Daniel H Morris after a customer filed a $900,000 FINRA arbitration against him. According to Morris’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in March of 2017 against Morris’s alleging unsuitability for…

Silver Law Group is investigating former Melbourne, FL-Morgan Stanley (CRD#149777) broker Anthony J. Verzi (CRD# 1186572) after FINRA permanently barred Verzi for refusing to appear for an on the record testimony related to an investigation into unsuitable trading. According to Verzi’s FINRA BrokerCheck report, a customer filed a FINRA arbitration…