A National Securities Arbitration & Investment Fraud Law Firm
The New Jersey Bureau of Securities has levied a large fine against LPL Financial LLC, one of the largest independent broker-dealer in the United States. The $950,000 fine also requires LPL to donate $25,000 to the New Jersey state investor education fund. The Bureau of Securities imposed these judgments against…
Silver Law Group is investigating Macon, Georgia-based Prospera Financial Services, Inc. (CRD# 10740) broker John N. Crook (CRD# 2715424) after a customer filed a $4.8 million complaint. According to Crook’s FINRA BrokerCheck report, a customer filed a FINRA arbitration against Crook in August 2016 alleging churning and excessive trading, unauthorized…
Meyers Associates, L.P., George Johnson, Joseph Mahalick and Christopher Wynne all named in FINRA complaint In the June 2015 FINRA Disciplinary Actions report, one firm and three brokers were named in a FINRA complaint alleging numerous violations that include manipulative trading of securities. According to the complaint, Meyers Associates, L.P.,…