Securities Arbitration Lawyers Blog

Scott Silver, Silver Law Group’s managing partner and co-chair of the Securities and Financial Fraud Group of American Association for Justice (AAJ), gave a presentation on how to recover damages in elder financial abuse cases at the annual convention of the AAJ in Philadelphia in July, 2023. AAJ is an…

Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously  employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. (CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. She has been…

Chuck Roberts (CRD# 2064602) is a registered broker and investment advisor currently employed with Stifel, Nicolaus & Company, Incorporated (CRD# 793) of New York, NY. He was previously employed by Morgan Stanley (CRD# 149777), Citigroup Global Markets Inc. (CRD# 7059) and Oppenheimer & Co. Inc. (CRD# 249), all of New…

“Structured notes” are an investment designed to be structured to align with the investor’s objectives, such as income, growth, risk management, etc. Rather than a single investment, structured notes are a compendium of multiple investments. The notes include a bond element along with other derivatives that adds some risk to…

The SEC Office of Investor Education and Advocacy issued an investor bulletin warning crypto investors about the dangers of trusting audits that don’t follow SEC rules and Public Company Accounting Oversight Board standards. Many crypto companies and issuers of “stablecoin” have been working to assure investors that their funds are…

Following appearances in 2021 and February, 2023, SEC whistleblower attorneys Scott Silver and David Chase were again invited back to the ‘Cut To The Chase’ legal podcast. The podcast is hosted by Miami attorney and entrepreneur Gregg Goldfarb, who discusses legal and public interest news with authorities in their field.…

In a recent interview with Investment News, Silver Law Group founder attorney Scott Silver stated, “The message by the perpetrator of the scam is, ‘I would never cheat my own people.’ Affinity fraud is as old as time and a big problem. Investors trust people in their own community, and…

Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. Previous employers include Cadaret, Grant & Co., Inc. (CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East…

Supply chain financing is a vital factor keeping the flow of goods and services moving worldwide. Credit Suisse offered its investment clientele a variety of investments, including supply chain financing funds, or SCFF. The basis of this investment is the early payment of invoices to suppliers for a fee. This…

According to FINRA Disciplinary actions for July 2023, 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…