Securities Arbitration Lawyers Blog

Mark F. Augusta CRD# 1333913 Silver Law Group is investigating potential  customer complaints against Del Mar, California-based Hilltop Securities Inc. broker Mark F Augusta after a former client was issued a large monetary award settlement. According to FINRA’s BrokerCheck report on Augusta, a client was awarded over 1.7 million in…

Robert H. Keller CRD#2168444 Silver Law Group is reviewing former Beverly Hills, California-based Morgan Stanley broker Robert H. Keller after he was discharged for trading in low priced securities and inaccurately designating trades as unsolicited. According to FINRA’s BrokerCheck report on Keller, Morgan Stanley discharged Keller in July of 2017…

Donald A. Devito CRD# 1096364 Silver Law Group is investigating former Albany, New York-based Wells Fargo broker Donald A Devito after multiple FINRA complaints alleging unauthorized trading and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Devito, a FINRA complaint was filed in January of 2017 alleging unauthorized trading…

Paul A. Falcon CRD# 2464566 Silver Law Group is reviewing customer complaints against Boca Raton office of Aegis Capital Corp. broker Paul A. Falcon that alleges he exercised unauthorized trading in client brokerage accounts, provided unsuitable investment recommendations and engaged in excessive trading According to FINRA’s BrokerCheck report on Falcon,…

Daniel H Morris (CRD#1046760) Silver Law Group is reviewing former Connecticut-based Oppenheimer & Co broker Daniel H Morris after a customer filed a $900,000 FINRA arbitration against him. According to Morris’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in March of 2017 against Morris’s alleging unsuitability for…

Shadi T Barakat CRD#5031281 Silver Law Group is investigating former New York, New York-based AEGIS Capital Corp broker Shadi T. Barakat after multiple clients filed FINRA complaints alleging excessive trading and churning. This complaint was settled in 2015 for $360,000. According to FINRA’s BrokerCheck report on Barakat, another FINRA complaint…

The New York broker has been charged with numerous violations, including misappropriation Though he’s currently not registered with a firm, Demitrios Hallas may never be allowed to work as a broker again. According to the SEC, from March 2014 to May 2016, Hallas violated a variety of anti-fraud provisions by…

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…

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…

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…