A National Securities Arbitration & Investment Fraud Law Firm
According to FINRA Disciplinary actions for January 2020, 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: NAME FORMER EMPLOYERS Bressman, Michael…
According to FINRA Disciplinary actions for January 2020, 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 Ajayi, Emmanuel…
According to FINRA Disciplinary actions for January 2020, 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 Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony …
For over 25 years, Silver Law Group has been representing investors in securities and investment fraud cases. A core part of our practice is representing investors in stockbroker misconduct cases which are generally administer by FINRA and hearings are held in major cities around the country. However, the current health…
Public records show that TCA Global Credit Master Fund, the South Florida-based hedge fund and business lender that announced that it was shutting down in January, 2020 after clients asked for more cash than was available, has sued many companies it lent money to in Broward County, Florida. Silver Law…
The Parking REIT said in an April, 2020 letter to investors that the option to provide liquidity to shareholders by listing common shares on a stock exchange is “not currently viable” and “there can be no assurance that the company will cause a liquidity event to occur in the near…
Scott Silver, managing partner of Silver Law Group and a leading investor advocate, recently submitted a comment letter to the SEC addressing the importance of mutual funds fairly characterizing the fund in its title or name. The SEC says that it sought comments from the public “on the framework for…
Silver Law Group, a nationally-recognized class action law firm, has filed the first class action lawsuit against South Florida-based hedge fund TCA Fund Management Group, TCA’s founder and chairman Robert Press, and others involved with the company (Defendants). The lawsuit, which Silver Law Group filed in federal court along with…
Broker Charles Dorraine (CRD# 70411) has been barred by FINRA (the Financial Industry Regulatory Authority) for refusing to give testimony about recommendations to customers about Puerto Rican bonds. It has been alleged that the bonds were unsuitable and customers were overconcentrated in them. Dorraine was last registered with Next Financial…
According to FINRA Disciplinary actions for April 2020, 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: NAME FORMER EMPLOYERS Timothy Crowley…