A National Securities Arbitration & Investment Fraud Law Firm
FINRA suspended New York-based broker Peter G. Alcure (CRD# 2406903) after he settled a customer’s losses without bringing the demand and subsequent settlement to his employing firm, Petersen Investments, Inc. (CRD# 38537). According to Alcure’s FINRA BrokerCheck report, FINRA suspended him in July 2016 for one month after one of…
Silver Law Group is investigating BB&T Securities, LLC (CRD# 142785) broker Joseph B. Feldman (CRD# 205910) after FINRA suspended him for misrepresenting the compensation he received for serving as the trustee for a customer’s trust. According to Feldman’s FINRA BrokerCheck report, the suspension follows a termination of Feldman by Merrill…
Silver Law Group is investigating Ameriprise Financial Services, Inc. (CRD# 19616) broker Paul S. Plemenos (CRD# 2193190) after FINRA suspended him over unauthorized trading allegations at his former firm. According to Plemenos’s FINRA BrokerCheck report, FINRA suspended him in July 2016 for executing trades in the accounts of customers without…
Silver Law Group is investigating SEC allegations against Peter R. Kohli (CRD# 1064334), DMS Advisors, Inc. and Marshad Capital Group, Inc., the parties that allegedly deceived investors into investing $3.2 million in Kohli’s failing mutual fund business. According to the SEC Complaint filed in September 2016, Kohli, a registered representative…
Silver Law Group is investigating Cetera Advisors (CRD# 10299) broker Daniel B. Vazquez Sr. (CRD# 3141463) after FINRA permanently barred him. According to Vazquez’s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June 2016…
Silver Law Group is investigating former Feltl & Company (CRD# 6905) broker Lance J. Ziesemer (CRD# 2342087) for a plethora of filed FINRA arbitrations alleging unauthorized trading, unsuitable recommendations, and other securities misconduct, including activity involving unit investment trusts (“UITs”). According to Ziesemer’s FINRA BrokerCheck Report, Ziesemer has 12 disclosures,…
Silver Law Group is investigating former Texas-based Next Financial Group, Inc. (CRD# 46214) broker Tye Calvin Williams (CRD# 1271046) after allegations of unsuitable investments in Smashburger and a FINRA permanent bar. According to Williams’ FINRA BrokerCheck report, FINRA permanently barred Williams from acting as a broker or otherwise associating with…
Silver Law Group is investigating former Stifel, Nicolaus & Company, Incorporated (CRD# 793) broker Jon B. Schmidhammer (CRD# 1548931) after Stifel allowed him to resign following an arrest for allegedly stealing money from a client. According to Schmidhammer’s FINRA BrokerCheck report, FINRA permanently barred Schmidhammer from acting as a broker…
Silver Law Group is investigating former New York-based Morgan Stanley (CRD# 149777) broker Scott P. Alcus (CRD# 2983730) after FINRA barred him for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. According to…
Silver Law Group is investigating former Long Island City, New York-based LPL Financial LLC (CRD# 6413) broker Michael Quiles III (CRD# 4351166) after FINRA suspended him. FINRA suspended Quiles in July 2016 after he failed to respond to a FINRA inquiry for information. The bar follows a discharge from LPL…