A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for January 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 Jesse Baker…
According to FINRA Disciplinary actions for January 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 Timothy Clark Bryant Ameriprise Financial Services, Inc. Wells Fargo Advisors, LLC Philip…
According to FINRA Disciplinary actions for January 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: Silver Law Group represents investors in…
Silver Law Group is investigating claims against Stifel, Nicolaus & Company, Inc. for the sale of unsuitable investments. Silver Law Group has filed a securities arbitration claim against Stifel, Nicolaus & Company, Inc. (“Stifel”) alleging the customers suffered significant losses due to unsuitable investments and misrepresentation of fees and commissions.…
Silver Law Group is investigating former Stifel, Nicolaus & Company, Inc. (“Stifel Nicolaus”) broker Coleman Joseph Devlin (“Devlin”) for allegations of executing trades in customer accounts without first obtaining authorization from the customers. Devlin was employed by Stifel Nicolaus’ Baltimore, Maryland office prior to his termination in June 2016. The…
Silver Law Group represents many of Mr. Vazquez investors. The Securities and Exchange Commission is charging Daniel Vazquez and Gilbert Fluetsch of running a home flipping scam that defrauded dozens of investors out of their retirement savings. Vazquez was a registered stockbroker with Cetera Advisors and Investors Capital Corp. from…
The former Michigan broker’s career was filled with suspensions, investigations, and firings In April of 2017, Ernest Julius Romer III received a permanent bar from the securities industry by the Financial Industry Regulatory Authority (FINRA). He was originally suspended by the agency, but because he didn’t request termination of the…
According to FINRA Disciplinary actions for December 2017, 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 Jason N. Anderson IFS Securities Kovack Securities Inc. Johan Henrik Frisell …
According to FINRA Disciplinary actions for December 2017, 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 Helle Romer…
The Silver Law Group in collaboration with the Law Firm of David Chase recently filed a FINRA arbitration claim on behalf of a legally blind 86-year old customer against Moloney Securities Co. and its broker, Joseph Weinrich, which alleges counts of unsuitability, unauthorized trading and churning, and seeks the recovery…