Articles Posted in Securities Arbitration

Investment broker Angel Edgardo Aquino-Velez (CRD#: 2687333) is no longer working as a broker, according to FINRA. Velez was previously registered as a broker, with the last place of employment listed as Morgan Stanley (CRD# 149777). His name is also listed as “Angel Edgardo Aquino,” “Angel E AquinoVelez” and, “Angel…

FINRA suspended Christopher Robert Hickman in June of 2017 for six months. This suspension is a result of Hickman’s violations of NASD Rule 2310, and FINRA Rules 2111 and 2010, regarding the unsuitable trading of Unit Investment Trusts, or “UITs.” Hickman neither denied nor confirmed the findings, and consented to…

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…

If you decide to use FINRA’s dispute resolution process to resolve a dispute with a broker or financial firm, you have two options, arbitration and mediation. When investors have a dispute with a brokerage firm registered with FINRA that cannot be settled through mutual agreement or outside settlement, the case…

You think your financial advisor has committed investment fraud, when should you lawyer up? A securities arbitration attorney can be an essential asset if you have questions about what a financial advisor is doing with your money, have been under-informed or misinformed about your investments, or are facing an upcoming…

This is the fourth complaint filed against the Raymond James broker Martin “Skip” Waldman of Boca Raton, Florida. Boca Raton broker Martin Waldman now faces yet another client complaint. In his 13 years in the securities industry, Waldman has several reported disclosure events on his professional track record. Waldman has…

Broker was also fined $15,000 for accepting trade orders she was not licensed to accept Tiffany Peacock-Asakawa was suspended from practicing in the securities industry for 10 months in August, following allegations that she was involved in false representation and the falsification of records of trade orders at her member…

Investigation follows termination from LPL Financial Jon Lawrence Cox, who has been in the securities industry since June 1990, according to FINRA documents, has been barred as of April 29 after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations…

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…

According to FINRA Teutonico failed to observe high standards of commercial honor. According to the Financial Industry Regulatory Authority (FINRA) Broker Check website, broker Patrick Teutonico is once again in the spotlight. Over the course of 17 years in the securities industry, Teutonico has 10 disclosures to report. To provide…