A National Securities Arbitration & Investment Fraud Law Firm
The New York-based broker is under investigation for alleged unsuitability, negligence, and financial fraud, among numerous other charges. During the course of a Financial Industry Regulatory Authority (FINRA) investigation into his potential misconduct as a securities broker, Peyton Nelson Jackson reportedly failed to provide information to the regulatory agency. The…
Wayne Anthony Schultz has been permanently barred from the securities industry. Silver Law Group is investigating allegations against Wayne Anthony Schultz in relation to notes that he issued to an elderly customer. FINRA brought enforcement action against Schultz after he continually refused to provide the documentation and information they requested…
24-year career ends amid allegations of breach of fiduciary duty and negligence Allegations made against John Labarca, a broker that was formerly employed by National Securities Corporation in New Jersey, include executing unauthorized transactions, breach of fiduciary duty and acting negligently. FINRA requested that he provide information and documentation in…
Jupiter, FL broker allegedly borrowed money from customers without disclosing the arrangement or seeking an exception to his member firm’s rule that prohibits it After 17 years in the securities industry, Christopher Kelly, a broker in Jupiter, Florida, has been suspended for four months by the FINRA. Silver Law is…
Allegations concerning customer funds lead to permanent FINRA bar Barbara Fife consented to the sanction that she failed to provide documents and information requested by FINRA during an investigation into accusations that she converted funds from a customer. In October of 2015, a client reported that she wrote checks directly…
Former Dynasty Capital Partners broker ends 15-year career with numerous customer disputes. After 17 years as a financial adviser, Raymond T. Clark has been permanently barred from the securities industry. This permanent bar follows Clark’s failure to pay fines and/or costs associated with a FINRA complaint. The complaint also alleges…