A National Securities Arbitration & Investment Fraud Law Firm
In the world of business, one of the most important pieces of getting started is raising capital. Most people have heard of an initial public offering, or IPO, but that’s not the only way a company can do its fund raising. One increasingly popular option is called Special Purpose Acquisition…
Wells Fargo and its counsel were found to have manipulated the FINRA arbitration process, according to a Georgia state court, which in January, 2022 vacated an arbitration award in favor of Wells Fargo. The Public Investors Advocate Bar Association (PIABA) and its president called for an investigation by the SEC…
Terms of a recent letter of Acceptance, Waiver, and Consent (AWC) that Aegis Capital Corp. submitted to FINRA require the New York-based broker-dealer to repay customers for alleged rule violations related to churning or excessive trading in customer accounts. Aegis was also ordered to pay monetary sanctions, and the AWC…
Silver Law Group has filed a FINRA arbitration claim against Cetera on behalf of a client who invested $1 million in PB Investment Holdings Ltd. (PBIHL), a Northstar Bermuda product. East West Bank Refers Client To Cetera Our client is a retired Chinese national in her 70s who worked hard…
Christopher Bond (Christopher Edward Bond CRD# 4658534) is a registered broker and investment advisor currently employed with National Securities Corporation (CRD#: 7569) of Melville, NY. He was previously employed with Gunnallen Financial, Inc (CRD#:17609) of Tampa, FL and Ehrenkrantz King Nussbaum, Inc. (CRD#:113525, expelled by FINRA on 10/12/2012) of Melville,…
GWG L Bonds are a relatively new financial product that purportedly offers higher yields than typical publicly-traded, fixed-income bonds. These bonds have significant risk and are not like traditional corporate bonds and other conservative investments. Silver Law Group has been retained by investors to pursue securities arbitration claims against brokerage…
Jordan Whitacre (Jordan David Whitacre CRD# 5828900) is a former registered broker and investment advisor whose most recent employer was Arkadios Capital (CRD#:282710) of Anderson, SC. His previous employers were Triad Advisors LLC (CRD#:25803) and The Investment Center, Inc. (CRD#:17839), also of Anderson. He has been in the industry since…
Darryl Cohen (Darryl Matthew Cohen CRD# 2786613) is a former registered broker and investment advisor whose last known employer was Morgan Stanley (CRD#:149777) of Westlake Village, CA. His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Westlake Village, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of…
On Friday, May 13, 2022 the SEC (Securities and Exchange Commission) sued StraightPath Venture Partners LLC and its three founders in federal court alleging the Florida firm raised over $410 million with fraudulent promises to investors about private companies that may hold IPOs (initial public offerings). The civil complaint was…
Innovative Industrial Properties, Inc. (IIPR) is the subject of an investigation by Silver Law Group regarding possible violations of the federal securities laws. If you purchased shares of Innovative Industrial Properties, Inc. (IIPR), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. Innovative Industrial Properties is an internally managed…