Securities Arbitration Lawyers Blog

Jeffrey Higgins (Jeffrey Thomas Higgins CRD# 2871443) is a former broker and investment advisor last registered with Western International Securities, Inc. (CRD# 39262) of Baker City, OR. He was previously registered with Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020), also of Baker City. He has been in the…

James Roy Paige (CRD# 1726609) is a broker and investment advisor currently registered with Wells Fargo Clearing Services, LLC (CRD# 19616) of Vero Beach, FL. Previously, he was registered with Morgan Stanley, (CRD# 8209 and CRD# 7556) also of Vero Beach, and Blinder, Robinson & Co., Inc. (CRD# 5096, no location…

Aaron A. Wagner, a former college football player, social media financial influencer, and entrepreneur, has been arrested in Utah for misappropriating investor funds. The Department of Justice’s complaint described wire fraud in which Wagner diverted investor funds intended for a restaurant investment and used them to purchase a private plane.…

Silver Law Group is investigating B Riley’s recommendation that investors purchase shares of Franchise Group as late as 2023. Following reports of Franchise Group Inc.’s (FRG) bankruptcy filing in Delaware, B. Riley chairman Bryant Riley sent an email to the firm’s employees stating that he felt “personally sick” in the…

Silver Law Group is representing investors in Franchise Group, Inc (FRG) through B Riley Wealth Management based on investor allegations that B Riley failed to disclose known negative information about FRG and conflicts of interest between FRG principal Brian Kahn and B Riley’s CEO. Franchise Group, Inc., (FRG) the parent…

Silver Law Group founder Scott Silver was recently interviewed about a report on the amount of financial loss from investment fraud that originates in the Sunshine State. The report indicates that Floridians lost a total of $311 million to various types of investment frauds in 2023. Only California and Texas…

FINRA’s Arbitration Panel recently awarded “emotional distress damages” to two investors involved in a claim against Ages Financial Services involving the sale of GWG Holding’s ill-fated L-Bonds. Silver Law Group has represented many GWG investors. The two investors received $75,000 each. It is one of FINRA’s largest awards for emotional…

Timothy Jefferson (CRD# 5004750, aka Tim Jefferson, Timothy Fleming Jefferson) is a previously registered broker and investment advisor last employed with Aegis Capital Corp. (CRD# 15007) of Brentwood, TN. His previous employers include Ameriprise Financial Services, LLC (CRD# 6363) and Metlife Securities Inc. (CRD# 14251), of Franklin, TN, and Metropolitan…

According to FINRA Disciplinary actions for October, 2024, 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 Jason Bostian Wells Fargo Clearing Services, LLC Morgan Stanley Helen Caldwell Wells Fargo Clearing Services, LLC…

According to FINRA Disciplinary actions for October 2024, 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…