Securities Arbitration Lawyers Blog

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…

Rick D. Konecny CRD#1727785 Silver Law Group is investigating former Chicago, Illinois-based National Securities Corporation broker Rick Konecny, after multiple customer allegations of misrepresentation, unsuitable recommendations and overconcentration were received by FINRA. According to FINRA’s BrokerCheck report on Konecny, a complaint was filed in August of 2017 alleging that during…

Ernest Julius Romer CRD#2311741 Silver Law Group is investigating Sterling Heights, Michigan-based CoreCap broker Ernest J. Romer, after customer allegations of misrepresentation and unsuitable recommendations where received by FINRA and he was subsequently permanently barred from the industry. According to FINRA’s BrokerCheck report on Romer, a customer filed a complaint…

Peter J. Doyle CRD#2370593 Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse. According to FINRA’s BrokerCheck report on Doyle, a complaint was received in July…

Thomas J Borruso CRD#5475175 Silver Law Group is investigating former Melville, New York-based LPL Financial broker Thomas Borruso after a customer allegation of breach of unsuitable investment recommendations and over concentration was received by FINRA. Our attorneys are licensed in NY and routinely represent investors in New York City and…