A National Securities Arbitration & Investment Fraud Law Firm
David Olson (CRD #1700644) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Olson consented to the sanction and to the entry of findings that he refused to provide complete documents and information requested by FINRA during an investigation into allegations that…
Sanders Spangler (CRD #4188542) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential…
Gary Basralian (CRD #14385) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Basralian consented to the sanction and to the entry of findings that he failed to provide FINRA requested documents and information in connection with an investigation into, among other…
Lawrence Fawcett (CRD #5851474) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Fawcett consented to the sanction and to the entry of findings that he failed to produce documents and information requested by FINRA, and failed to appear for on-the-record testimony, in…
Joshua Ellis (CRD #5500165) was suspended on March 26, 2018 from associating with any FINRA member firm in all capacities. If Ellis fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 31, 2018 from…
David Barber (CRD #1165082) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings that he failed to produce information and documents requested by FINRA during the course of an ongoing examination…
Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings that he effected approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts…
Our investment fraud attorneys help victims of precious metal and exotic diamond frauds by con artists who promise quick profits from investing in rare diamonds or other exotic gems. Investors should be wary of any aggressive sales tactics or violations of state or federal securities laws. Possible Fraudulent Sales Pitch…
Here’s what you need to do now Elder financial fraud continues to be a lucrative scheme in America, which is why seniors and their loved ones always need to keep their guard up. We have previously discussed how to spot fraud and what some financial institutions are doing to prevent…
Silver Law Group attorneys have won an award against Curtis D. Milakovich, formerly of Kovack Securities Inc. on behalf of our clients through FINRA arbitration. FINRA Awards Our Clients Damages Due to Curtis D. Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000…