Securities Arbitration Lawyers Blog

Justin W Parker CRD#1307813 Silver Law Group is investigating Del Mar, California-based Hilltop broker Justin Parker following a customer complaint alleging unsuitable investment recommendations, churning and elder abuse. According to FINRA’s BrokerCheck report Parker, a complaint was received in August of 2017 alleging that Parker had provided unsuitable investment recommendations,…

James B. Lowther CRD#5854504 Silver Law Group is investigating Sarasota, Florida-based Merrill Lynch broker James B. Lowther following a customer complaint alleging unsuitable investment recommendations and misrepresenting an investment opportunity. According to FINRA’s BrokerCheck report on Lowther, a complaint was received in July of 2017 alleging that Lowther had provided…

Bettye C. Hays CRD#1307813 Silver Law Group is investigating former Mobile, Alabama-based Principal Securities broker Bettye Hays following a customer complaint alleging unsuitable investment recommendations and misrepresenting an investment opportunity. According to FINRA’s BrokerCheck report on Hays, multiple complaints were received in July of 2017 alleging that Hays had provided…

John M. Schneider CRD#2360548 Silver Law Group is investigating former Pittsburgh, PA-based PWA Securities broker John Schneider following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Schneider, a complaint was received in July of 2016 alleging that Scheider had provided unsuitable…

Beth A. Debouvre CRD#3176483 Silver Law Group is investigating former Grosse Pointe Farms, Michigan-based  IMS Securities broker Beth Debouvre after multiple customer allegations of breach of fiduciary duty and unsuitable investment recommendations were received by FINRA. According to FINRA’s BrokerCheck report on Debouvre, a complaint was filed in September of…

Kim D. Isaacson CRD#855618 Silver Law Group is investigating former Midvale, Utah based Ameriprise Financial Services, Inc broker Kim D. Isaacson after FINRA received a complaint of fraudulent misrepresentation, omission of material facts and unauthorized trading According to FINRA’s BrokerCheck report on Clarke, a complaint alleging misrepresentation and omission of…

Englebert Sarmiento CRD#4506010 Silver Law Group is investigating Former Lynnbrook, New York-based Network 1 Financial Services broker Englebert Sarmiento following multiple customer complaints alleging unauthorized investment activity and unsuitable investment recommendations. Network 1 Financial Securities is headquated in Red Bank, NJ. Network 1 recently settled with FINRA allegations that relating…

Michael J. Keane CRD#265697 Silver Law Group is investigating former Melville, New York-based UBS Financial Services Inc broker Michael Keane, after multiple customer allegations of unsuitable investment recommendations where received by FINRA. According to FINRA’s BrokerCheck report on Keane, a complaint was filed in October of 2017 alleging that during…

Melvin Case CRD#2393464 Silver Law Group is investigating Jacksonville, Florida-based LPL Financial broker Melvin Case following multiple customer complaints alleging unsuitable investment recommendations, churning, and misrepresentation. Case is not currently employed by any FINRA registered brokerage. He was previously employed by firm LPL at their Jacksonville, FL office, where he…

David W Krumrey CRD#4121845 Silver Law Group is investigating The Woodlands, Texas-based Oppenheimer & Co broker David Krumrey following a customer complaint alleging unauthorized trading, According to FINRA’s BrokerCheck report on Krumrey, a complaint was received in October of 2017 alleging that Krumrey had engaged in unsuitable trading relating to…