Securities Arbitration Lawyers Blog

Christopher Kennedy (Christopher Booth Kennedy CRD# 4498061) is a former registered broker and investment advisor last employed with Western International Securities, Inc. (CRD#:39262) of Woodland Hills, CA. His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. (CRD# 39262) and Financial West…

Silver Law Group, a nationally recognized law firm that represents investors, is currently investigating Alliance Bernstein after its customers suffered losses related to their Option Advantage Strategy. If you invested in Alliance Bernstein’s Option Advantage and have questions about your legal rights, or if you have information relevant to this…

If you were one of the many investors who were led to believe that the Options Advantage Program from Alliance Bernstein was a solid investment, Silver Law Group may be able to help you recover your investment losses. The current investigation involves AllianceBernstein LP and Sanford C. Berstein & Co.…

Silver Law Group is investigating claims involving the AllianceBernstein Options Advantage Program, where investors were offered the opportunity to earn additional return on already-invested funds. The firm’s financial advisors allegedly sold this program as low risk and low volatility, but many investors suffered significant losses. Many investors claim they were…

Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a/k/a “Cathie Joughin Barnard,” “Cathie Ann Goughin,” “Cathie Joughin”) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush…

Silver Law Group is investigating Retail Ecommerce Ventures (REV) on behalf of investors who say they haven’t been paid dividends, can’t withdraw their principal, and have been told that the company may be headed towards bankruptcy. If you own shares in Retail Ecommerce Ventures, Silver Law Group may be able…

We’ve often blogged about how brokers and investment advisors don’t always do business in a client’s best interest. In many cases, it’s the broker’s best interest that comes first, and the client pays the price. First Republic Bank’s compensation system for its brokers—called “wealth managers” in their Form ADV brochure—offered…

The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. Written in a question-and-answer format, the bulletin is designed to offer information to its target audience for two topics: The Care Obligation of Regulation Best Interest (“Reg BI”) for broker-dealers…

Loren Morrison (Loren Justin Morrison CRD# 4578161) is a broker and investment advisor currently registered with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of Southfield, MI. His previous employers include Echotrade LLC (CRD# 42239) of Phoenix, AZ, and UBS Financial Services Inc. (CRD# 8174) of Birmingham, MI. He has been…

Silver Law Group, a nationally-recognized law firm representing victims of securities and investment fraud, is investigating potential claims to recover investment losses on behalf of owners of TriplePoint (TPVG) stock, which has recently dropped significantly in value on a report questioning the value of its loan book. If you own…