Securities Arbitration Lawyers Blog

Ryan Raskin (Ryan Ashley Raskin CRD# 5539610) is a former registered broker and investment advisor was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#7691) in Beverly Hills, California from 2016-2020. Raskin previously worked with Morgan Stanley in Woodland Hills, California from 2009-2016. In March 2020, Raskin was discharged…

Investment firm Infinity Q Capital Management LLC has halted investor redemptions following the discovery of potentially serious valuation issues. According to a recent article published in the Wall Street Journal, the firm’s Chief Investment Officer has been banned from trading following discovery of potential misconduct relating to valuation of the…

Worden Capital Management LLC (CRD# 148366), a FINRA-registered brokerage firm, was sanctioned $1.5 million by FINRA to settle findings that the firm churned (excessively traded) customer accounts. The sanction includes a $350,000 fine and $1.2 million in restitution. According to a FINRA (the Financial Industry Regulatory Authority) letter of Acceptance,…

Scott Silver, Silver Law Group’s managing partner, was interviewed for a CNBC article about the GameStop (GME) bull who is behind the Roaring Kitty YouTube streams. GameStop Surges With Help From Reddit, Social Media Bulls According to news reports, GameStop stock’s incredible rise in price was helped by social media…

Silver Law Group represents investors for losses in funds offered by SEC-registered investment advisor Indie Asset Partners, LLC (Indie Asset). Indie Asset is an Indiana-based investment adviser firm that, among other things, offers its clients a series of “house funds” managed by its affiliate: Indie Diversified Partners, LLC. Among others,…

Tyler Delahunt (Tyler Dean Delahunt CRD#: 4419594) is a formerly registered broker and investment advisor whose last known employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Atlanta, Georgia. His previous employers include PFS Investments Inc. (CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. (CRD#:6694) of…

Michael Fahsholtz (Michael Anthony Fahsholtz CRD#: 2057306) is a former broker and investment advisor who was registered with broker-dealer Stifel, Nicolaus & Company, Incorporated (CRD#:793) from 2011 until he left the brokerage industry in 2020. Fahsholtz was based in Wenatchee, Washington. Fahsholtz’s FINRA BrokerCheck Report, published by the Financial Industry…

According to FINRA Disciplinary actions for January 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 January 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   Dane Brinkman   Kovack Securities Inc.   UBS Financial Services Inc.   Jonah Engler  …

According to FINRA Disciplinary actions for January 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   Casey Brougham…