A National Securities Arbitration & Investment Fraud Law Firm
Investment broker Angel Edgardo Aquino-Velez (CRD#: 2687333) is no longer working as a broker, according to FINRA. Velez was previously registered as a broker, with the last place of employment listed as Morgan Stanley (CRD# 149777). His name is also listed as “Angel Edgardo Aquino,” “Angel E AquinoVelez” and, “Angel…
FINRA suspended Christopher Robert Hickman in June of 2017 for six months. This suspension is a result of Hickman’s violations of NASD Rule 2310, and FINRA Rules 2111 and 2010, regarding the unsuitable trading of Unit Investment Trusts, or “UITs.” Hickman neither denied nor confirmed the findings, and consented to…
Silver Law Group is investigating investor claims for possible securities laws violations of LJM Preservation and Growth Fund (Stock Symbol: LJMIX). The LJM Preservation and Growth Fund (“LJMIX”) is a mutual fund that is marketed and sold with the investment goal of preserving capital even in down markets. The mutual…
On December 8, 2017, the University of Miami School of Law held its annual class action forum. Of particular interest was hot topics in class action and mass torts plus a keynote speech from the attorney representing many NFL players in litigation relating to concussions. Scott Silver is a 1996…
The former broker reportedly never disclosed a real estate venture that was worth $1 million James Randall Clay was notified by the Financial Industry Regulatory Authority (FINRA) in October of last year that he was the respondent in a complaint. The allegations against him involve an elderly client, a large…
Silver Law Group, a law firm specializing in securities and investment fraud, has filed a securities arbitration claim with FINRA on behalf of an elderly investor alleging stockbroker misconduct and the unsuitable use of margin and excessive trading. FINRA recently issued investor guidance highlighting “Purchasing on Margin, Risks Involved with…
Silver Law Group is investigating claims against Garden State Securities, Inc. (“Garden State”) broker Jason E. Zwibel (“Zwibel”) for possible unsuitable investment recommendations. Zwibel is currently employed by the Garden State office located in Wellington, Florida. A recent customer dispute filed with the Financial Industry Regulatory Authority (“FINRA”) against Zwibel…
Silver Law Group is investigating former Legend Equities Corp. (“Legend”) broker Walter Joseph Marino (“Marino”) for allegations of unsuitable recommendations and charging excessive commissions and fees in customer accounts. Marino was employed by Legend’s Palm Beach Gardens, Florida office prior to his termination in July 2015. The Financial Industry Regulatory…
Allegations include the misappropriation of more than $2.6 million, much of it through a penny stock scheme Elder financial fraud continues to be a serious problem in the U.S., but the Securities and Exchange Commission (SEC) is making attempts to protect senior investors. One way the agency is doing this…
Contact Us If You Have Lost Money Investing with Sheaff Brock Investment Advisors, LLC Silver Law Group is investigating potential FINRA arbitration claims against TD Ameritrade on behalf of investors who suffered investment losses with Sheaff Brock in stock options as a result of investments managed by Sheaff Brock. A class action…