A Reuters investigation team published a story earlier this year documenting high-risk brokers and brokerage firms using bulk data it compiled. Silver Law Group continues to investigate claims against these brokerage firms. FINRA requires brokers to disclose 23 types of incidents that might give investors concern, such as regulatory sanctions, court…
Securities Arbitration Lawyers Blog
Christopher Robert Hickman is Sanctioned by FINRA after Alleged Elder Financial Fraud
The Florida broker received a fine and suspension for making unsuitable investments Christopher Robert Hickman will not be able to resume working as a broker until the middle of November. It will be then that his five-month suspension will come to an end. The penalty came from the Financial Industry…
North Florida-based D.H. Hill Broker Charles Stevens and St. Johns Financial Planning Under Investigation
Silver Law Group is investigating St. Augustine Florida-based D.H. Hill Securities, LLLP (CRD# 41528) broker Charles T. Stevens (CRD# 1698058) after FINRA sanctioned D.H. Hill Securities over misconduct concerning public non-traded REITs. Charles Stevens and St. Johns Financial Planning Stevens’ runs his own St. Augustine, Florida-based D.H. Hill Securities office…
Kingwood, Texas-based Broker D.H. Hill Under Investigation Over Regulatory Actions Concerning REITs
Silver Law Group is investigating Kingwood, Texas-based brokerage firm D.H. Hill Securities, LLLP (CRD# 41528) (“D.H. Hill”) after FINRA sanctioned the firm for its conduct concerning the firm’s role as underwriter of a real estate investment trust (“REIT”). D.H. Hill Securities Enters into a Settlement with FINRA D.H. Hill entered…
Greensboro, North Carolina-based Ameritas Investment Corp. Broker Alonza Barnett Under Investigation After FINRA Bar
Silver Law Group is investigating Greensboro, North Carolina-based Ameritas Investment Corp. (CRD# 14869) broker Alonza Barnett Jr (CRD# 4577695) after FINRA barred him and a customer brought a complaint alleging $1.75 million in damages. Barnett’s CRD Report According to Barnett’s FINRA BrokerCheck report, FINRA barred Barnett in March 2017 after…
Former South Florida-based Raymond James Broker Leon P. Rehak Under Investigation
Silver Law Group is investigating former South Florida-based Raymond James & Associates, Inc. (CRD# 705) broker Leon P. Rehak (CRD# 2331058) after a customer brought a FINRA arbitration complaint alleging over half a million dollars in damages. According to Rehak’s FINRA BrokerCheck report, a customer of Rehak filed a FINRA…
Former New York-based Joseph Stone Capital Broker Under Investigation After Montana Sanctions Over Excessive and Unauthorized Trading
Silver Law Group is investigating former New York-based Joseph Stone Capital L.L.C. (CRD# 159744) broker David G. Menashe (CRD# 5727269) after the State of Montana sanctioned him for excessive and unauthorized trading. Menashe’s CRD Report and the Montana Regulatory Decision According to Menashe’s FINRA BrokerCheck report, the Office of the…
Binary Options- CFTC’s RED List
Binaryoptionfraudattorneys.com CFTC’s RED List Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with damages totaling in the millions of dollars in the United States alone. The U.S. Commodity Futures Trading Commission (“CFTC”) has issued a Fraud Advisory…
Binary Options- CFTC Fraud Advisory
Binaryoptionlosses.com Binary Options Fraud Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with losses totaling in the millions of dollars in the United States alone. The U.S. Commodity Futures Trading Commission (“CFTC”) has issued a Fraud Advisory…
Binary Options- SEC Investor Alert
Binaryoptionlossattorneys.com Binary Options Fraud Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with losses totaling in the millions of dollars in the United States alone. The Federal Bureau of Investigation (“FBI”) issued a news release and the…