Articles Posted in Unsuitability

Carlos Mejia CRD#5011069 Silver Law Group is investigating Former Albany, New York-based Purshe Kaplan Sterling broker Carlos Mejia after he settled a customer complaint alleging unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Mejia, a complaint was received in February of 2016 alleging that Mejia provided unsuitable investment recommendations…

Justin W Parker CRD#1307813 Silver Law Group is investigating Del Mar, California-based Hilltop broker Justin Parker following a customer complaint alleging unsuitable investment recommendations, churning and elder abuse. According to FINRA’s BrokerCheck report Parker, a complaint was received in August of 2017 alleging that Parker had provided unsuitable investment recommendations,…

John M. Schneider CRD#2360548 Silver Law Group is investigating former Pittsburgh, PA-based PWA Securities broker John Schneider following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Schneider, a complaint was received in July of 2016 alleging that Scheider had provided unsuitable…

Michael J. Keane CRD#265697 Silver Law Group is investigating former Melville, New York-based UBS Financial Services Inc broker Michael Keane, after multiple customer allegations of unsuitable investment recommendations where received by FINRA. According to FINRA’s BrokerCheck report on Keane, a complaint was filed in October of 2017 alleging that during…

Melvin Case CRD#2393464 Silver Law Group is investigating Jacksonville, Florida-based LPL Financial broker Melvin Case following multiple customer complaints alleging unsuitable investment recommendations, churning, and misrepresentation. Case is not currently employed by any FINRA registered brokerage. He was previously employed by firm LPL at their Jacksonville, FL office, where he…

David W Krumrey CRD#4121845 Silver Law Group is investigating The Woodlands, Texas-based Oppenheimer & Co broker David Krumrey following a customer complaint alleging unauthorized trading, According to FINRA’s BrokerCheck report on Krumrey, a complaint was received in October of 2017 alleging that Krumrey had engaged in unsuitable trading relating to…

Ernest Julius Romer CRD#2311741 Silver Law Group is investigating Sterling Heights, Michigan-based CoreCap broker Ernest J. Romer, after customer allegations of misrepresentation and unsuitable recommendations where received by FINRA and he was subsequently permanently barred from the industry. According to FINRA’s BrokerCheck report on Romer, a customer filed a complaint…

Donald A. Devito CRD# 1096364 Silver Law Group is investigating former Albany, New York-based Wells Fargo broker Donald A Devito after multiple FINRA complaints alleging unauthorized trading and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Devito, a FINRA complaint was filed in January of 2017 alleging unauthorized trading…

Paul A. Falcon CRD# 2464566 Silver Law Group is reviewing customer complaints against Boca Raton office of Aegis Capital Corp. broker Paul A. Falcon that alleges he exercised unauthorized trading in client brokerage accounts, provided unsuitable investment recommendations and engaged in excessive trading According to FINRA’s BrokerCheck report on Falcon,…

Daniel H Morris (CRD#1046760) Silver Law Group is reviewing former Connecticut-based Oppenheimer & Co broker Daniel H Morris after a customer filed a $900,000 FINRA arbitration against him. According to Morris’s FINRA BrokerCheck report, a customer filed a FINRA arbitration complaint in March of 2017 against Morris’s alleging unsuitability for…