A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for June 2018, the following individuals were suspended 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 Mona Ali…
According to FINRA Disciplinary actions for June 2018, 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 Donald Nelson…
According to FINRA Disciplinary actions for June 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Daniel Harry Curkan Sigma Financial Corporation Morgan Stanley Diaz, Anthony IBN…
Retirement planning firm owner allegedly paid for lavish living expenses and more with elderly investors’ money It has happened again. The Securities Exchange Commission (SEC) has uncovered yet another alleged Ponzi scheme targeting the most vulnerable of investors: the elderly. Clifton Stanley of Galveston, Texas is accused of cheating his…
Silver Law Group is investigating claims involving National Securities’ sale of Restoration Robotics to investors through its IPO and in Reg D or private placement offerings. If you invested in Restoration Robotics common stock or in a private placement and would like to discuss your legal rights, please contact our…
Carlos Evertsz-Seda is barred from association with any FINRA member in any capacity. Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Carlos Evertsz-Seda was employed…
Craig Blattner has been in the securities industry for 31 years most recently with Cetera Advisors LLC in Longwood, FL from September 2016 – February 2018. Previous registrations include Investors Capital Corp in Longwood, FL form May 2006 – October 2016. Mr. Blattner is no longer a registered stockbroker. Blattner…
We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter D. Holler. FINRA suspended Holler from the securities industry for two years, fined him $10,000, and ordered him to disgorge $49,790 in commissions for selling Woodbridge Investments. FINRA was investigating Holler regarding allegations that he engaged…
Richard Minichino has spent 7 years in the securities industry and was most recently registered with Next Financial Group in New York, New York (2016-2018). Previous registrations include Wunderlich Securities, JP Morgan Securities, Chase Investment and David Lerner Associates. According to his BrokerCheck report, Richard Minichino was recently terminated from…
Vicente Davila has spent eight years in the securities industry and was most recently registered with Morgan Stanley in Houston, Texas (2016 – 2018). Previous registrations include Merrill Lynch and Barclays Capital. Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser…