Securities Arbitration Lawyers Blog

Soleno Therapeutics, Inc. (SLNO) is being investigated by Silver Law Group regarding potential claims for investors in the company to recover losses. The investigation concerns potential violations of the federal securities laws. If you have losses from investing in Soleno Therapeutics, Inc. (SLNO), contact Silver Law Group for a no-cost…

The US Justice Department today announced the conviction and sentencing of two former employees of SunTrust Bank who pled guilty to financial exploitation of an elderly person. Former SunTrust bankers Rashad Liverpool, 28, and Robert Tillery, 45, were each sentenced on March 5 after conviction of financial exploitation of an…

Jason Poff (Jason Howell Poff CRD:# 18272) is a registered broker and investment advisor currently employed with Allstate Financial Services, LLC of Houston, TX. Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. (CRD#:25574), all of Houston. He has…

Gary Hammond (Gary Wayne Hammond CRD# 2660432) is a previously registered broker and investment advisor who last worked for Hornor, Townsend & Kent, Inc. and MML Investors Services, LLC in Charlotte, North Carolina for brief periods in 2017, but spent the bulk of his career registered with MSI Financial Services,…

According to FINRA Disciplinary actions for February 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   Lawrence Fawcett, Jr.   Westpark Capital, Inc.   Salomon Whitney Financial   Lawrence Freedman  …

According to FINRA Disciplinary actions for February 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 February 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   Spyridon Chandrinos…

John Timberlake (John Hillman Timberlake CRD# 2109445) is a previously registered broker and investment adviser who was last registered with Carter, Terry & Company, Inc in Atlanta, Georgia. Before joining Carter, Terry & Company, Timberlake worked for Suntrust Investment Services, Inc. John Timberlake Disclosures John Timberlake has 6 disclosures on…

Michael Shillin (Michael Francis Shillin, CRD# 5927156) is a barred broker who was last registered with A.G.P/Alliance Global Partners in Altoona, Wisconsin. Before working for A.G.P., Shillin was registered with Raymond James Financial Services and Edward Jones. Shillin Wealth Management On October 27, 2021, Shillin was indicted by a Wisconsin federal…

David Karandos (David Michael Karandos CRD# 1934119), a previously-registered broker and investment adviser who last worked for Dinosaur Financial Group, LLC in Indianapolis, Indiana, is the subject of multiple customer disputes. Before working for Dinosaur Financial Group, Karandos worked for Morgan Stanley Smith Barney and UBS Financial Services. David Karandos…