Silver Law Firm is investigating Champignon Brands, Inc. (SHRMF) regarding potential claims for investors in the company to recover losses. The company is under scrutiny after allegations of potential violations of federal securities laws. If you have losses from investing in Champignon Brands, Inc. (SHRMF), contact Silver Law Group for a…
Securities Arbitration Lawyers Blog
Broker Kevin J. Schaefer Subject Of $1.3M In Disputes
Kevin Schaefer (Kevin Joseph Schaefer CRD:# 1286030) is a registered broke and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD#: 19616) of San Francisco, CA. His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. (CRD#:8174), both of San Francisco, and Smith…
AgEagle Aerial Systems (UAVS) Alleged To Be “Pump & Dump”
Bonitas Research recently published a new report on AgEagle Aerial Systems, Inc. (UAVS) revealing that the company is not all it claims to be, and actively worked to defraud US investors. In its release, Bonitas stated: “We believe that AgEagle Aerial Systems Inc.’s (“UAVS”, “AgEagle”, or the “Company”) was a…
Edward Dougherty, Woodbury Financial Services Broker, Subject Of 4 Disclosures
Edward Dougherty (Edward Howard Dougherty/Ted Dougherty CRD# 2753847) is a registered broker and previously registered investment adviser currently registered with Woodbury Financial Services, In. in Bayfield, Wisconsin. Woodbury Financial has recently been the subject of arbitration claims alleging the unsuitable recommendation to purchase GPB Automotive and related investments. Edward Dougherty…
Soleno Therapeutics, Inc. (SLNO) Subject Of Investigation
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…
Elder Financial Abuse Charges Against SunTrust Stockbrokers
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 Accused Of Violating FINRA Rules Over Outside Business Activities
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…
FINRA Bars Gary Hammond For Selling Away And Involvement In Ponzi Schemes
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,…
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement February 2021
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 …
FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2021
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…