Securities Arbitration Lawyers Blog

Michael Raineri (Michael Patrick Raineri CRD# 4817558) is a former broker and investment advisor whose last employer was Securities America, Inc. (CRD# 10205) of Seattle, WA. His previous employers were KMS Financial Services, Inc. (CRD# 3866), Cetera Advisors LLC (CRD# 10299) and Pacific West Securities, Inc. (CRD# 6390), all of…

William Winchester (William Forrest Winchester III CRD# 4404327, aka “Bill Woods”) is a former registered broker and investment advisor whose last employer was Cadaret, Grant & Co., Inc. (CRD# 10641) of Chattanooga, TN. His previous employers include Raymond James Financial Services, Inc. (CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust…

Silver Law Group represents victims of Philip Riposo on a contingency fee basis. Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant &…

Ahmed Gheith (Ahmed Ghassan Gheith, CRD# 5783957, aka Andy Gheith, Anthony Gheith) is a currently registered broker employed with Ceros Financial Services, Inc. (CRD# 37869) of Staten Island, NY. His previous employers include Noble Capital Markets, Inc. (CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. (CRD# 15007),…

Silver Law Group is investigating banks TCF Financial and Huntington Bancshares Inc. (HBAN) for potential violations of the federal securities laws. If you bought or acquired shares of Huntington Bancshares (HBAN), Silver Law Group may be able to recover your investment losses. Contact us at 800-975-4345 for a no-cost consultation.…

According to FINRA Disciplinary actions for May 2023, 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   Albert Foronda…

According to FINRA Disciplinary actions for May 2023, 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   Damian Baird   Moors & Cabot, Inc.   Morgan Stanley   Bridget Fernandez   Ultimate…

According to FINRA Disciplinary actions for May 2023, 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. However, these individuals remain bound by…

Matthew Boehm (Matthew John Boehm CRD# 4418029) is a registered broker and investment advisor currently employed with Woodbury Financial Services, Inc. (CRD# 421) of East Peoria, IL. He was previously employed with Lion Street Advisors, LLC (CRD# 167610 as an investment advisor), and also of East Peoria, and Lion Street…

Damian Baird (Damian Mark Baird CRD# 3097243) is a previously registered broker and investment advisor most recently employed with Moors & Cabot, Inc. (CRD# 594) of Boston, MA. His previous employers include Morgan Stanley (CRD# 149777) of Williamsville, NY, UBS Financial Services Inc.   (CRD# 8174) of Buffalo, NY, and HSBC…