A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for April 2021, 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…
According to FINRA Disciplinary actions for March 2021, 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 Christian Evans…
According to FINRA Disciplinary actions for March 2021, 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 Allen Wells Fargo Clearing Services, LLC Morgan Stanley Carl Birkelbach …
According to FINRA Disciplinary actions for March 2021, 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…
Mark Hopkins (Mark Lewton Hopkins CRD#: 2653473) is a former registered broker who was registered with American Portfolios Financial Services, Inc. (CRD# 18487) of Grand Blanc, Michigan from 2009 until he was permitted to resign in 2018. Hopkins worked in the industry since the 1990s. Hopkins also did business under…
Scott Silver, Silver Law Group’s managing partner, was recently interviewed for an article on Investmentnews.com that details the alleged “hot air” spewed by brokers to sell $1.8 billion of GPB Capital Holdings to investors. Silver Law Group represents investors in claims to recover GPB investment losses. If you have losses…
In our Silver Law securities arbitration and investment arbitration blogs, we highlight individuals who were caught taking financial advantage of their investment clients. In many cases, the investors are elderly, and sometimes, inexperienced at investing. And in some cases, the brokers and advisors are elderly themselves, caught committing fraud after…
Neptune Wellness (NEPT) is being investigated by Silver Law Group regarding potential claims for investors in the company to recover losses. US consumers who seek out complementary and alternative health products and services spend an estimated $30 billion every year for them. One of the most popular new supplements is…
Having a stockbroker in the family may seem like a great thing to have. He or she has their finger on the pulse of the stock market, always aware of a new company or an up-and-coming opportunity. Unfortunately, that’s not always the way it is. The recent case of 94-year-old…
It’s a story we’ve heard repeatedly: an elderly individual has been fleeced out of a large sum of money. In many cases, it was all the money they had, and don’t have a clue on how to get it back. Americans over the age of 65 are 15% of the…