Securities Arbitration Lawyers Blog

David Harrison Miller (CRD: 4648882) is a currently registered broker and investment advisor employed by Peachcap Securities (CRD: 25590) in Atlanta, GA.  His previous employers include Investacorp, Inc. (CRD#:7684) and Ameriprise Financial Services, INC. (CRD#:6363), both of Atlanta, GA, and IDS Life Insurance Company (CRD#:6321) of Minneapolis, MN.  He has…

Shimson Plotkin (CRD: 2431863) is a currently registered broker and investment advisor who is currently employed with Independent Financial Group, LLC (CRD#: 7717) of Chevy Chase, MD.  His previous employers include Pacific West Securities, Inc. (CRD#:6390) and Cambridge Investment Research, Inc. (CRD#:39543), both of Chevy Chase, MD, and Royal Alliance…

Trevor Bradner Rahn (CRD: #2196155) is a former registered broker and investment advisor whose last employer was J.P. Morgan Securities LLC (CRD#:79) of Los Angeles, CA. His previous employers include Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, Morgan Stanley & Co., Incorporated (CRD#:8209) and Morgan Stanley DW INC.…

Antoine Nabih Souma (CRD: 4210987) is a registered broker and investment advisor currently employed with Morgan Stanley (CRD#:149777) of Los Angeles, CA. His previous employers include J.P. Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. (CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. (CRD#:8174), of Beverly Hills,…

Debra Rae Lambert (CRD: 2238553) is a previously registered broker and investment advisor whose last employer was Raymond James & Associates, Inc. (CRD#:705) of The Villages, FL. Previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), A. G. Edwards & Sons, Inc. (CRD#:4, both of Smithtown, NY, and…

Andrew Stanley Krakauer (CRD: 1613159) is a registered broker and investment advisor employed by AXA Advisors, LLC (CRD#: 6627) of Woodbury, NY. His previous employer was The Equitable Life Assurance Society Of The United States (CRD#:4039) of New York, NY. He has been in the industry since 1987. A customer…

According to FINRA Disciplinary actions for December 2019, 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   Amparo, Nelson   Citizens Securities, Inc   Santander Securities LLC   Bethan, Frank   Quest…

According to FINRA Disciplinary actions for December 2019, 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   Bartley, Jevon…

According to FINRA Disciplinary actions for December 2019, 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   DiLiberto, Jesse…

GPB Capital has been accused of being a Ponzi scheme, which is a type of fraud where new investor money is used to pay off old investors. Investors in a Ponzi scheme believe they are getting a return from the business they invested in, but they’re really getting another victim’s…