Articles Posted in Securities Arbitration

On 12/8/2017, FINRA permanently barred former registered broker Kenneth Stewart Tyrell (CRD #2457452) from acting as a broker or having any affiliation with a broker-dealer firm. Tyrell was both a previously registered broker and a previously registered investment advisor. His last employer was Cary Street Partners, (CRD #128089) of Richmond,…

Broker Ryan Michael Murnane (CRD #4784140) has been suspended by FINRA for failure to provide requested information. The suspension was enacted on 02/12/2018. Since no action has been taken in the three-month period, the suspension has become a bar as of April 20, 2018. Murnane’s last employer of record was…

Former Broker Charles Henry Frieda (CRD #5502319) has been barred after FINRA investigated more than 50 client allegations of improper investments. Frieda’s last employer of record was Wells Fargo Clearing Services (aka Wells Fargo Advisors, CRD #19616) of Irvine, CA, where he was employed from 10/05/2012 through 09/20/2017. Although he…

Former broker and investment advisor Charles Bernard Lynch, Jr. (CRD #3004877) has been barred by FINRA after 57 customer disputes have been filed against him. His last employer of record was Wells Fargo Clearing Services (aka Wells Fargo Advisors, CRD #19616), where he was employed from 10/05/2012 through 05/02/2016. He…

Silver Law Group is currently investigating Centennial, Colorado based broker Joseph Alan Lavigne regarding complaints pertaining to failure to provide due diligence to investor clients and misrepresentation. Based on FINRA’s BrokerCheck report on Lavigne, a complaint was filed on December 4, 2017 alleging that Lavigne provided misleading information to investor…

Silver Law Group is currently investigating Dayton, Ohio based broker John Greg Schmidt regarding complaints pertaining to theft of client funds and elder financial abuse. Based on FINRA’s BrokerCheck report on Schmidt, a complaint was filed on October 9, 2007 alleging that Schmidt caused an investor client upwards of $500,000…

Silver Law Group is currently investigating Colorado Springs, CO based broker Sonya D. Camarco regarding complaints pertaining to failure to provide due diligence to investor clients, misappropriation of client funds, and misrepresentation. Based on FINRA’s BrokerCheck report on Camarco, a complaint was filed on August 23, 2017 alleging that Camarco…

Silver Law Group is currently investigating Boston, MA and New York, NY based broker Cornelius Peterson regarding complaints pertaining to failure to provide due diligence to investor clients, misappropriation of client funds and misrepresentation. Based on FINRA’s BrokerCheck report on Peterson, a complaint was filed on September 1, 2017 alleging…

Silver Law Group is currently investigating Boston, MA and New York, NY based broker James S. Polese regarding complaints pertaining to failure to provide due diligence to investor clients, misrepresentation regarding client fees and security of investments, and misappropriation of client funds. Based on FINRA’s BrokerCheck report on Polese, a…

Silver Law Group is currently investigating Melville, NY based broker Joseph Francis Valdini regarding complaints pertaining to failure to provide due diligence to investor clients and placing unauthorized trades with subsequent margin call sellouts that caused major financial damages to investors. Based on FINRA’s BrokerCheck report on Valdini, a FINRA…