Securities Arbitration Lawyers Blog

The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrency into their scams. Investing in cryptocurrency such as Bitcoin, Litecoin, Ethereum, and other so-called “digital assets” are a truly 21st Century way to invest. For someone who is…

John Edgar Simmons, Jr. (CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of…

Jeffrey Warren (CRD:#2707969) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New…

First High-School Education Group (FHS) is being investigated by Silver Law Group regarding possible violations of the federal securities laws. If you purchased shares of First High-School Education Group (FHS), contact Silver Law Group at (800) 975-4345 or at ssilver@silverlaw.com. First High-School Education Group is a Chinese company that is…

Edward Turley (CRD# 1872294, a/k/a “Edward L Turley,” Ed Turley,” “Edward Lawrence Turley,”) is a previously-registered broker and investment adviser who last worked for JP Morgan Securities (CRD#: 79) of San Francisco, California. Turley was previously registered with Lehman Brothers, CS First Boston Corporation, and Morgan Stanley & Co. Inc.,…

According to FINRA Disciplinary actions for September 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   John Barrett…

According to FINRA Disciplinary actions for September 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 September 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   Sam Aziz   David A. Noyes & Company   Coastal Equities, Inc.   Gary Helbling…

According to FINRA Disciplinary actions for August 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   Omer Ali-Taha   BB&T Investment Services, Inc.   Citigroup Global Markets Inc.   Katie Blando…

According to FINRA Disciplinary actions for August 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   Lorenzo Atkins…