A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for November 2016, 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 Debbie Sue…
According to FINRA Disciplinary actions for November 2016, 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 Scott Patrick Alcus Morgan Stanley Smith Barney Citigroup Global Markets Inc. Richard…
According to FINRA Disciplinary actions for Nov 2016, 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 Juan C.…
Silver Law Group is investigating former Stifel, Nicolaus & Company, Incorporated (CRD# 793) broker Assan Faal (CRD# 5863258) after FINRA permanently barred him. According to Faal’s FINRA BrokerCheck report, FINRA permanently barred Faal from acting as a broker or otherwise associating with firms that sell securities in June 2016 after…
Silver Law Group is investigating former National Securities Corporation (CRD# 7569) broker Bingyu Hu (CRD# 5573954) after FINRA permanently barred him and for excessive trading allegations. According to Hu’s FINRA BrokerCheck report, FINRA permanently barred Hu from acting as a broker or otherwise associating with firms that sell securities in…
Silver Law Group is investigating former Miami, Florida-based J.P. Morgan Securities LLC (CRD# 79) broker Yohandy Gonzalez (CRD# 6298112) after J.P. Morgan discharged him and a FINRA suspension. According to Gonzalez’s FINRA BrokerCheck report, J.P. Morgan discharged Gonzalez on March 9, 2016. According to the FINRA BrokerCheck report, Gonzalez, in…
Silver Law Group is investigating former Morgan Stanley (CRD# 149777) broker Myrna M. Perez (CRD# 4389021) after a FINRA permanent bar. According to Perez’s FINRA BrokerCheck report, FINRA permanently barred Perez from acting as a broker or otherwise associating with firms that sell securities in June 2016 after she failed to…
Silver Law Group is investigation former Sagepoint Financial, Inc. (CRD# 133763) broker James L. Carpenter (CRD# 2199138) after FINRA barred the broker and because of variable annuity misconduct allegations. According to Carpenter’s FINRA BrokerCheck report, Carpenter was permanently barred from acting as a broker or otherwise associating with firms that…
Silver Law Group is investigation former Meyers Associates, L.P. (CRD# 34171) broker Michael S. Lavolpe (CRD# 5054798) over numerous FINRA arbitrations alleging unsuitable recommendations as well as a FINRA-led regulatory action. According to Lavolpe’s FINRA BrokerCheck report, Lavolpe has been alleged to be involved in a little broker misconduct. Spanning…
The Financial Industry Regulatory Authority (“FINRA”) has filed a case against Richard William Lunn Martin (“Martin”) (CRD# 723309) for allegedly recommending clients invest in unsuitable non-traditional exchange traded funds (“non-traditional ETFs”). Martin has been employed by G.F. Investment Services, LLC (CRD# 132939) from April 2014 to July 2015 and between…