A National Securities Arbitration & Investment Fraud Law Firm
Scott Silver was happy to address a packed room of accomplished class action and mass tort lawyers to discuss securities and investment fraud cases and handling FINRA arbitration claims. HB Litigation Conferences is a leading conference coordinator and coordinated a unique conference in the NASDAQ building in Times Square. Scott’s…
On December 8, 2017, the University of Miami School of Law held its annual class action forum. Of particular interest was hot topics in class action and mass torts plus a keynote speech from the attorney representing many NFL players in litigation relating to concussions. Scott Silver is a 1996…
Silver Law Group is investigating former Mississippi-based Morgan Stanley (CRD# 149777) broker Hilary J. Zimmerman (CRD# 2191841) over unauthorized trading allegations. According to Zimmerman’s FINRA BrokerCheck report, Zimmerman is the subject of seven (7) disclosures. Out of the seven disclosures, Zimmerman has had three (3) settled on his behalf and…
Silver Law Group is investigating former Boca Raton, Florida-based Raymond James broker Gregory E. Barr (CRD# 1312703) after being discharged by two different firms in less than three years. Barr was most recently employed by Raymond James & Associates (CRD# 705), but most of his trouble involves his prior firm,…
The Silver Law Group has filed an arbitration claim before FINRA on behalf of two Florida teachers alleging, among other things, that financial advisor Curtis Milakovich (CRD# 5471527) churned their accounts while two national broker/dealers turned a blind eye. The claim also alleges that the two national broker/dealers did not…
FINRA arbitration panel finds bank liable in alleged fraud claim As Puerto Rico’s financial struggles continue, a FINRA arbitration panel awarded three claimants $3M in an alleged fraud claim against UBS Financial Services in early September. According to Law360.com, the claimants alleged that the bank committed fraud relating to closed-end…
Both brokers barred following termination from same firm One broker had over 30 years’ experience in the securities industry. One broker had only one year of experience in the securities industry. Yet both brokers were terminated from LPL Financial LLC within a month of each other. According to the FINRA…
Morgan Stanley has found itself on the wrong end of a Florida FINRA arbitration for claimed damages of $400 million. Lynnda Speer, the widow of Home Shopping Network (HSN) co-founder Roy M. Speer, filed the claim against Morgan Stanley and one of its branch managers and investment advisers. Due to…
The Silver Law Group has filed a securities arbitration claim before the Financial Industry Regulatory Authority (“FINRA”) on behalf of a family and a family business from South America alleging, among other things, that Dawson James failed to properly supervise one of its registered representatives, permitted an unsuitable investment strategy…
According to FINRA Disciplinary actions for May 2015, 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 Jinesh Pravin Brahmbhatt Success Trade Securities, Inc. LPL Financial Corporation Patrick Ryan…