A National Securities Arbitration & Investment Fraud Law Firm
Rick D. Konecny CRD#1727785 Silver Law Group is investigating former Chicago, Illinois-based National Securities Corporation broker Rick Konecny, after multiple customer allegations of misrepresentation, unsuitable recommendations and overconcentration were received by FINRA. According to FINRA’s BrokerCheck report on Konecny, a complaint was filed in August of 2017 alleging that during…
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…
Peter J. Doyle CRD#2370593 Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse. According to FINRA’s BrokerCheck report on Doyle, a complaint was received in July…
Thomas J Borruso CRD#5475175 Silver Law Group is investigating former Melville, New York-based LPL Financial broker Thomas Borruso after a customer allegation of breach of unsuitable investment recommendations and over concentration was received by FINRA. Our attorneys are licensed in NY and routinely represent investors in New York City and…
The two brokers are reported to have engaged in short-term trading that resulted in significant losses for their clients Two brokers who worked for Windsor Street Capital, LP (also doing business as Meyers Associates, L.P.) are facing serious allegations. According to the Financial Industry Regulatory Authority (FINRA), Nas Adel Allan…
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…
Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc. (CRD#2543) broker David K. Mallett (CRD#5145838) over allegations that Mallett excessively traded customers’ accounts and made unsuitable recommendations. According to Mallett’s FINRA BrokerCheck report, a customer filed a complaint in October of 2016 against Mallett alleging churning in the customer’s…
Silver Law Group is investigating former Jericho, New York Ridgeway & Conger, Inc. (CRD# 113055) Kenley Brisard (CRD# 2641960) after FINRA permanently barred the broker. According to Brisard’s FINRA BrokerCheck report, FINRA permanently barred Brisard. According to Brisard’s BrokerCheck report, in January 2016 Brisard was named a respondent in a…