Securities Arbitration Lawyers Blog

According to FINRA Disciplinary actions for June 2022, 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   Dalila Costa-Leroy   Spartan Capital Securities, LLC   National Securities Corporation   Carlos Guzman  …

According to FINRA Disciplinary actions for June 2022, 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   Kyleigh Haynes…

A recent Wall Street Journal article details the process by which GWG Holdings’ founders and a board director used hundreds of millions of dollars paid by GWG L Bonds investors to fund their own startups and kept their startups away from investors. Silver Law Group represents GWG L Bonds investors…

Silver Law Group is representing and filing claims on behalf of multiple investors who lost money on GWG Holdings L Bonds. These “alternative investments” were marketed to retirees looking for a safe and stable form of income. The illiquid, non-traded investments were sold by licensed financial representatives and their brokerage…

Did you lose money investing in GWG Holdings Inc. L Bonds? Our securities and investment fraud attorneys are representing investors on a contingency fee basis to help recover our clients losses. Read more about our experience handling these types of cases at securitiesfraudattorneys.com. Scott Silver, Esq, is the chairman of…

Silver Law Group is representing GWG Holdings L Bonds investors. GWG stopped paying dividends in January, 2022. GWG then suspended sales of the L Bonds. Following the company’s Chapter 11 bankruptcy in April, investors are wondering if they will be able to recover any of their money from this company.…

Arkady Ginsburg (CRD:#5256747) is a registered broker who is currently employed with Aegis Capital Corp. (CRD#:15007) of New York, NY. He was previously employed with Rockwell Securities LLC (CRD#:142483) of New York, NY, and S.W. Bach & Company (CRD#:43522) of Port Washington, NY. He has been in the industry since…

Michael Mandel (Michael Walter Mandel, CRD# 4939165) is a currently registered broker and investment advisor last registered with LPL Financial (CRD:#6143) of Upper Saddle River, NJ. His previous employers were Royal Alliance Associates, Inc. (CRD:# 23131), of Old Tappan, NJ, and UBS Financial Services (CRD:# 8174 ) of Paramus, NJ.…

Eric Nicolassy (Eric Edward Nicolassy CRD# 6244539) is a broker currently registered with Network 1 Financial Securities Inc. (CRD#: 13577) of Red Bank, NJ. His previous employers include Woodstock Financial Group, Inc. (CRD#:38095), also of Red Bank, NJ, Alexander Capital, L.P. (CRD#:40077) and Woodstock Financial, both of Staten Island, NY.…

If you were an investor in GWG Holdings L Bond series, you know by now that the company has filed for Chapter 11 bankruptcy. The company failed to pay its dividend considering its recent financial issues. If you’re in the class of people who have invested in a product you…