A National Securities Arbitration & Investment Fraud Law Firm
When you’re considering working with a financial professional, how do you pick the right person? Do you choose someone with an impressive-sounding title/designation that makes it seem like they have expertise helping people just like you, such as “senior specialist” if you’re a senior citizen? While a designation like that…
The Massachusetts Securities Division has charged former investment adviser, Bruce Colin Worthington, with allegedly withdrawing $100,000 from a client’s bank account. Worthington has been charged with fraudulently misappropriating the investment funds of a retiree and using the money for personal use. He was affiliated with Founders Financial Securities for about…
On February 26, 2019, the SEC announced charges and an asset freeze against the people behind a South Florida investment scheme. One of the people behind the scheme has a felony conviction, was in prison for 20 years, and is now out on parole. Castleberry Financial Services Group LLC, managed…
This is the latest case related to the conduct of barred advisor Aaron Parthemer, who had a practice in Florida that catered to NFL and NBA players. Parthemer invested some of his clients’ money in a Miami Beach nightclub that he partially owned. He also engaged in other activities that…
FINRA has alleged that in 2011 and 2012, Ami Forte engaged in unsuitable trading with the account of a client who was very near death. With this account, Forte generated more than $9 million in commissions in less than a year. In 2016, Forte was fired by Morgan Stanley after…
Silver Law Group, a securities and investment fraud law firm, is letting investors know that a class action lawsuit has been filed against Amarin Corporation on behalf of investors who purchased shares between September 24, 2018 and November 8, 2018. The complaint alleges that Amarin made materially false and/or misleading…
It seems like a way to get justice against fraud: requesting an arbitration hearing with FINRA after losing money in a fraudulent or shady investment your broker insisted was solid. A defrauded investor then files a complaint with FINRA, who arranges an arbitration hearing, and money damages are awarded to…
Christopher Duke Bennet (CRD#: 2510231) is a former registered broker and investment advisor whose last employer was J.J.B. Hilliard, W.L. Lyons, LLC (CRD#:453) of Louisville, KY. He began with Lyons in 1995, and worked solely for the firm until 2018. No current employment information is available. There is no indication…
Gabriel Block (CRD#: 2103543, aka Gabe Block) is a former registered broker and investment advisor whose last employer was First Standard Financial Company LLC (CRD#:168340) of Red Bank, NJ. His previous employers include National Securities Corporation (CRD#:7569) and Oppenheimer & Co. Inc. (CRD#:249), both of Red Bank, as well as…
Marcus E. Boggs (CRD#: 5055667) is a former registered broker and investment advisor whose last broker dealer employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Chicago, IL, from 2/7/2006 through 12/18/2018. No current or additional employment information is available. Marcus Boggs is the subject of five disclosures.…