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Broker Roy Williams Barred After Borrowing From Customers
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Broker Christian De Berardinis Suspended And Fined For Selling Away To Private Placements
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SEC Charges Morgan Stanley Smith Barney, Firm Pays $15M Fines For Third-Party Disbursement Fraud
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Scott Silver Discusses Barred Broker Henry Duval’s Continued Misconduct
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Scott Silver Interviewed About Two Brokers’ TRO In A GWG L-Bonds FINRA Arbitration
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November, 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2024
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FINRA Suspends Broker Alan Mason After GWG Holdings L-Bonds Sales
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Broker Ariel Rivero Suspended, Fined $15K After Multiple Wrongdoings
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Former LPL Broker Sean Mostero Barred By FINRA
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FINRA Bars Broker Imdadur Rahman Following Undisclosed OBA And Unreported Gifts From Client
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FINRA Bars Two Brokers Following Elder Fraud Allegations
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FINRA Suspends Broker Sharif Sharif Following Crypto OBA
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Scott Silver Awarded PIABA’s Outstanding Service Award
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Broker Jeffrey Higgins Barred For Long-Term Misappropriation Of Funds
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Broker James Roy Paige Subject Of Two Customer Claims Of Unsuitability
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Influencer And Entrepreneur Aaron Wagner Arrested For Misuse Of Investor Funds
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Franchise Group Bankruptcy Costs B Riley Wealth Management Clients
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Did B Riley Recommend You Invest In Franchise Group, Inc. (FRG)
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Fox News Interviews Attorney Scott Silver About Florida Financial Frauds
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FINRA Awards “Emotional Distress Damages” To Two Victims Of GWG Holdings’ L-Bonds
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Broker Timothy Jefferson Suspended After Misappropriating Client’s Funds
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October, 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2024
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Keith Dagostino Subject Of Multiple Customer Disputes – Aegis Capital
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2024
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September, 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2024
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August, 2024
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Stockbrokers Can’t Trade in Dead Clients Accounts
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SEC Charges Todd Burkhalter In $300 Million Ponzi Scheme And Gets Injunctive Relief
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Silver Law Group Confirms Judgment Of Large FINRA Arbitration Award
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Steven Musielski, Former Cambria Capital Broker, Barred From Industry
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Former American Trust Investment Services Broker David Geake Barred by FINRA
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FINRA Bars Broker Robert Silvestri After Client Loans
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Scott Silver Featured In Investment News Article About IFS Broker Keith Wakefield Convicted Of Securities And Wire Fraud
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Silver Law Group Secures FINRA Arbitration Award On Behalf Of Investors In GWG L Bonds
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SEC Files Complaint Against Broker Garrett Moretz Over GWG Holdings L-Bonds
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Did Portsmouth Financial Services Sell You GWG’s L-Bonds?
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Did You Invest In GWG L-Bonds On Advice From Moloney Securities?
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Did Centaurus Financial Sell You L-Bonds From GWG Holdings?
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Did You Buy GWG L-Bonds From Dempsey Lord Smith?
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Did You Buy GWG Holdings L Bonds From National Securities?
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Silver Law Group Continues To Secure Arbitration Awards For GWG L-Bonds Investors
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Silver Law Group Wins FINRA Arbitration For GWG L-Bonds Investors
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Silver Law Group Continues to Investigate Potential Claims Against Stifel Nicolaus Broker Chuck Roberts
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Stifel Nicolaus Broker Chuck Roberts Subject Of 19 Investor Claims For Mishandling Investments
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Stifel, Nicolaus & Company Broker Chuck Roberts Subject Of FINRA Arbitration Claims
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Are You Getting The Best Interest Rate Available At Your Bank Or Brokerage Firm?
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Silver Law Group Investigating Banks And Brokerage Firms For Putting Customers In Low Interest-Bearing Accounts
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Wells Fargo Target Of Class Action Lawsuit For Failing To Pay Customers Highest Available Interest Rate For Money Market And Cash Sweep Accounts
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FINRA Bars Broker Gianluca De Berardinis
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Broker Marion Adams III Barred After Misappropriation of Client Estate Assets
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Broker Paul Trimber Barred By FINRA After Conversion Of Funds
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Broker Juan Sosa Barred After Converting $331K In Funds From Elderly Customer
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Broker Eugene Thompson IV Has Four Disputes From GWG Holdings L-Bonds
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement June, 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2024
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Scott Silver Comments On SEC Decision On Lufkin Advisors
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SEC Warns Investors About Online Crypto Scams
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FINRA Bars Broker Michael Archimede After Customer Loan
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Broker Joseph Beam Subject Of Six Customer Disputes Over GWG L-Bonds
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Scott Silver Speaks to Investment News About Broker-Dealer Bankruptcy
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Broker Patrick Mendenhall Subject of Two Disputes Totaling $8M
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Scott Silver Speaks After Nonprofit Wins $7.3M Arbitration Against Principal Securities
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2024
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May, 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2024
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Scott Silver Quoted In Investment News On GWG Holdings Arbitration Award
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FINRA Suspends Broker Kwame Adusei After Unauthorized Transactions and Unsuitable Recommendations Allegations
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Did You Invest In Hatteras Investment Partners Funds?
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2024
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April, 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2024
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March, 2024
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Principal Securities Sued Over Broker’s Churning
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Scott Silver Comments On Losses In Alternative Investments
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FINRA Bars Broker John Kersey After Mishandling Customer Funds
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SEC Investigates Broker Garrett Moretz
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement January, 2024
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2024
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2024
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FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning Allegations
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Broker Michael Digioia Suspended After Failing To Pay Judgment
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Michael Fasciglione Suspended After Failing To Respond To FINRA Query
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Silver Law Group Investigating Mondee Holdings
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2023
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Silver Law Group Investigates Investor Losses In Location Ventures, LLC And Rishi Kapoor
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement Nov 2023
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SEC Blocks Agridime, LLC “Cattle Contracts” Ponzi Scheme
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Los Bufetes De Abogados Silver Law Group Y David R. Chase Presentan Una Demanda De 2 Millones De Dólares Para Recuperar La Pérdida De Inversión En Northstar Bermuda
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Former Merrill Lynch Broker William King Subject Of Complaints Relating To Unsuitable Options Trading
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Broker Todd Lesk Of Lesk Financial In Coral Springs, Florida Barred By FINRA
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FINRA Bars Broker Shane Wilhelm For Failing To Respond To Request For Information
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Broker Scott Matalon Barred From Industry After Failing To Provide FINRA Requested Documents
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D. Wray Rodgers Barred By FINRA After Investigation
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FINRA Bars Broker Randall Skrabonja
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Broker Jermaine Benjamin Barred By FINRA For Misappropriation And Defalcation
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FINRA Bars Leslie Jackson Following Private Security Transactions
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FINRA Suspends Broker Jose Candelario For Unsuitable Recommendations of NT-ETFs
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Scott Silver, Esq. Highlights Risk Of FINRA’s After The Fact Fines
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Fernando Silva Terminated From Morgan Stanley Over Misappropriation Allegation
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FINRA Bars Broker John Terzis After Undisclosed Client Loan
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John Matson Terminated By LPL For Selling Client Unapproved Investment
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Brian Wurdemann Barred By FINRA Following Two Arbitration Actions
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FINRA Bars Kevin Hobbs Following Trading Away
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Silver Law Group Secures FINRA Arbitration Award On Behalf Of Investors In GWG L Bonds
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FINRA Suspends Broker Joseph Todd Following Failure To Pay Settlement
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What Is Churning?
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Scott Silver Interviewed By Fox 35 Regarding Nursing Assistant Who Used Elderly Patient’s Identity To Pay For Her Plastic Surgery
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Andrew Miles Subject Of $1M In Several Customer Disputes Over Unsuitable Investment Strategies
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FINRA Bars Broker Ron Filoramo After Fraudulent Induction Allegation
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Broker William Conn Subject Of Seven Disclosures
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2023
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SEC Order Asset Freeze For Nanban Ventures, LLC
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Did You Lose Money In Northstar Financial Services (Bermuda)?
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Northstar Bermuda Liquidation – Investor Recovery Attorneys
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Sculptor Capital Corp Investors Allege They’ll Be Underpaid In Acquisition By Rithm Capital
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What Are Structured Notes?
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SEC Issues Press Release Regarding Leveraged And Inverse ETFs
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GWG Subsidiary Beneficient Failed Its Investors
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Scott Silver Presents On Financial Elder Financial Abuse At The American Association For Justice (AAJ) Annual Conference
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Former Cetera Broker Clarice Saw Charged With Fraud By The SEC
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Did You Lose Money With Chuck Roberts?
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Did You Lose Money With Stifel Nicolaus In Structured Notes?
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SEC Issues Warning Regarding “Proof Of Reserves” in Crypto Asset Markets
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Scott Silver And David Chase Make Third Appearance As Guests On ‘Cut To The Chase’ Legal Podcast
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Scott Silver Discusses Affinity Fraud With Investment News
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Silver Law Group Files FINRA Arbitration Claim Against United Planners’ Financial Services Of America Relating To Philip Riposo
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Did You Lose Money In Credit Suisse (Lux) Supply Chain Finance Fund?
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information July 2023
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FINRA Bars Broker Michael Raineri After Converting Customer Funds
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William Winchester Barred Following OBA And $850K Loans From Customers
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Were You A Victim Of Investment Fraud By Philip Riposo At United Planners’ Financial Services Of America?
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FINRA Suspends Broker Ahmed Gheith After Private Placements
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Were Your TCF Financial Shares Exchanged For Huntington Bancshares (HBAN)?
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2023
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Matthew Boehm Subject Of GWG L-Bond Arbitration Claim
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Broker Damian Baird Permanently Barred After Misappropriation And Failing To Pay $1.2M Following FINRA Arbitration
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Former Broker Christopher Kennedy Subject Of 10 Customer Disputes
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Attention Investors In Alliance Bernstein LP Option Advantage Strategy
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Did Your Alliance Bernstein Financial Advisor Recommend The Options Advantage Program?
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Did You Lose Money In The AllianceBernstein Options Advantage Program?
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Broker Cathie Joughin Barred After Refusing FINRA’s Info Request
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Silver Law Group Investigates Retail Ecommerce Ventures On Behalf Of Investors
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Grand Canyon Not A Crack In The Sidewalk: Scott Silver On First Republic Disclosures
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SEC Issues Guidelines For Standards of Conduct And Care Obligations For Investment Advisors
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Loren Morrison, Stifel Nicolaus Broker, Allegedly Breached Fiduciary Duty
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TriplePoint (TPVG) Stock Drops On Report Alleging Weak Loan Book
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FINRA Bars Broker Patrick Thayer After Misappropriating $1.3M
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FINRA Bars Broker David Morris After Failing To Pay Arbitration Award
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Huntington Bancshares (HBAN) And TCF Financial Merge, Stock Drops
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2023
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2023
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SEC Charges Broker Surage Perera After Stealing $4M From Client
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Northstar Financial Services Bermuda FINRA Arbitration
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Northstar Financial Services Bermuda
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SEC Issues Warning Regarding Cryptocurrency
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FINRA Suspends Broker Christopher Eriksson
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FINRA Suspends Broker Christopher Polinaire
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FINRA Suspends Broker Todd Seymour For Outside Business Activities
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Sevag Haddadian Barred After Ignoring FINRA Requests For Info
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TD Bank Settles Lawsuit Over Stanford Financial Group Ponzi For $1.2B
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Broker Daniel Beech Subject Of 18 Customer Disputes Totaling $1.8M, Along With FINRA Regulatory Actions
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Scott Silver Interviewed By Fox 35 For Elder Fraud Romance Scam
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FINRA Bars Broker Caz Craffy After Defrauding Surviving Military Families
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement February 2023
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2023
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2023
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Celsius Lawsuits Continue To Expand For Investors
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Did You Lose Crypto On Celsius
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SEC Highlights That GWG Bonds Are Speculative Investments
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Charles Malico, Former Network 1 Financial Securities Broker, Suspended By FINRA
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FINRA Suspends MB Schreiber After Customer Complaint
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FINRA Suspends Broker Efrain Balderrama Trujillo Again After Borrowing Money From Customers
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FINRA Suspends Efthimios George Petrou For Excessive Trading
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Criminal Charges Filed Against Sam Bankman-Fried In FTX Collapse
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SEC Indicts Sam Bankman-Fried and FTX In Cryptocurrency Collapse
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Scott Silver Interviewed About George Santos’ Ponzi Scheme Experience
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FINRA Bars Dusty Sternadel After Refusing To Testify In Investigation
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CFTC Sanctions Monex – A Leveraged Precious Metals Company
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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2022
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2022
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Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2022
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Scott Silver Quoted In Advisor Hub Regarding FINRA Jurisdiction
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FINRA Bars Broker Darien Bonney After OBA And Private Placements
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FINRA Investigates Daniel Pita For Outside Business Activities
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FINRA Files Complaint Against Michael Venturino After Churning Allegations
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2022
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2022
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Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2022
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FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2022
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2022
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Western International Securities Is SEC’s First Regulation Best Interest Action
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Former Morgan Stanley Brokers File Claims Over Deferred Compensation
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Ponzi Scheme – All Hat, No Cattle
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Northstar Financial Services (Bermuda) Investor Seeks To Recover $1 Million Loss From Hancock Whitney Investment Services
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Best Securities Lawyers For Investment Fraud Cases
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What Happened To All The Money At GWG Holdings?
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Did You Lose Your Crypto Because Of A Cell Phone Hack
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Scott Silver Selected As A Top Rated Securities Litigation Attorney By Super Lawyers For 2022
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Did Cabot Lodge Securities Sell You GWG L Bonds?
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Regulation D: Were You Sold an Unsuitable Private Placement?
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FINRA Bars Former Wells Fargo Broker James Seijas After Ponzi Scheme
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James Simpson Barred After Allegations Of Selling Away
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Updated:
Caroline Mohan, Former LPL Broker, Barred From Industry
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FINRA Bars Broker Michael Beebe Following OBA
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FINRA Bars Jesus Rodriguez After Using Client’s Credit Line
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Brokerage Firm Fined $1M For Churning, Customers May File FINRA Arbitration Claims
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Updated:
Did Your Hedge Fund Or Other Investment Company Make False Performance Claims
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2022
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2022
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Updated:
FINRA Bars Stockbrokers For Failing To Provide Information September 2022
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Silver Law Group Files Investor Securities Arbitration Claim Against Broker For Taking Customer Money For Personal Use And Elder Financial Abuse
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Updated:
National Securities Is Now Part of B. Riley Wealth
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Aegis Capital Reaches Agreement With SEC
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Updated:
Broadway Strategic Return Fund Managing Partners Subject Of SEC Enforcement Action
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Investment Disputes Relating To Regulation D And Private Placements
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement Aug 2022
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Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information Aug 2022
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Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules Aug 2022
:
Updated:
Broker Shawn Good Barred After $4.8M Ponzi Scheme At Morgan Stanley
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Updated:
Philip Riposo Barred After Creating False Statements To Hide Misappropriations
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CFTC Issues Advisory On Elder Fraud
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Updated:
FINRA Suspends Christopher Passero After “Assisting” Clients For Losses
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Updated:
GWG Holdings L Bond Recovery Attorneys
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Updated:
GWG L Bond Investors Seek Recovery After GWG Bankruptcy
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Updated:
Securitiesfraudattorneys.com Pursues Investor Claims Following GWG Bankruptcy
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Updated:
Recovery Options For GWG L Bond Investors
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Silver Law Group Represents Investors With Losses In GWG L Bonds
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FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2022
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement June 2022
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Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2022
:
Updated:
Wall Street Journal Article Details GWG Holdings Transfer Of Money To Startups Of Its Former Leaders
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Updated:
Securitiesfraudattorneys.com Pursues Investor Claims Following GWG Bankruptcy
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Updated:
Silver Law Group Represents Investors With Losses In GWG L Bonds
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Updated:
GWG Holdings Bond Recovery Attorneys
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Updated:
Aegis Capital Brokers Arkady Ginsburg And Scott Hananel Accused of Churning Customer Accounts
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Updated:
FINRA Suspends Michael Mandel After Selling Away
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Updated:
FINRA Suspends Eric Nicolassy After Churning Customer Accounts
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Updated:
Recovery Options For GWG L Bond Investors
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Updated:
Did You Buy GWG L Bonds From Newbridge Securities?
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Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2022
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2022
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May 2022
:
Updated:
Did You Invest With Morgan Stanley’s Pelican Bay Group?
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Updated:
Did You Invest With Morgan Stanley Or Anthony Gallea?
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Updated:
Did Excessive Options Trading Lead To Churning In My Account?
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Updated:
Have You Lost Money In Covered Calls Options Strategy?
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Updated:
Attorney Scott Silver Now An America’s Top 100 High Stakes Litigator
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Is FINRA Arbitration Fair For Investors
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Updated:
Silver Law Investigating Multiple SPAC Companies
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Updated:
Wells Fargo Alleged To Have Manipulated FINRA Arbitration Process
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Updated:
FINRA Orders Aegis Capital Corp. To Repay Certain Customers
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Updated:
Silver Law Group Files Claim On Behalf Of Investor In PB Investment Holdings Ltd. (PBIHL), A Northstar Bermuda Product
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Updated:
Broker Christopher Bond Suspended For Exercising Discretion
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Updated:
GWG Holdings L Bonds Securities Arbitration Claims
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Updated:
FINRA Bars Broker Jordan Whitacre For Misappropriation Of Client Funds
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Updated:
Darryl Cohen Barred After Misappropriation Allegations, $9.4M Damages
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Updated:
SEC Sues StraightPath Venture Partners For Alleged IPO Investing Fraud
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Updated:
Innovative Industrial Properties, Inc. (IIPR) Subject Of Investigation
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Updated:
Stronghold Digital Mining, Inc. (SDIG) Subject Of Class Action Lawsuit
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Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April 2022
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2022
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2022
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Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2022
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2022
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March 2022
:
Updated:
FINRA Bars Broker Warren Rowe, Jr. After “Impermissible” Client Loan
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Updated:
Joshua Nicholas Banned By FINRA And National Futures Association
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Updated:
FINRA Suspends Broker Michael Knittel After Private Security Transaction
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Updated:
FINRA Suspends Broker Joseph La Scala For Excessive Trading
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Updated:
FINRA Bars Broker Anthony DiDonna Over Forged Documents And Misappropriated Funds
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Updated:
SEC Charges Financial Advisor with Allegations of Misappropriating $800K
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Updated:
Kiromic BioPharma, Inc. (KRBP) Subject Of Investigation For Possible Securities Laws Violations
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Updated:
Did You Invest With Aegis Capital?
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Updated:
Johan Pereira Suspended After OBA With Bitcoin And Securities Work
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Updated:
FINRA Suspends Jeremy Fortner After Borrowing Money From Clients
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Updated:
FINRA Requires Brokerage Firms To Have Proper Supervisory Systems
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Stockbrokers Are Not Supposed To Take Gifts, Loans Or Cash From Clients
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Joseph Stone Capital Brokers Douglas Rosenberg & Adam Maggio Suspended
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Updated:
Li-Cycle Holdings (LICY) Alleged To Have Broken Business Model
:
Updated:
Silver Law Group Files Securities Arbitration Claims For Northstar Financial Services (Bermuda) Investors
:
Updated:
Northstar Financial Services (Bermuda) Investment Loss Attorneys
:
Updated:
Northstar Financial Services (Bermuda) Investment Losses
:
Updated:
Did Your Financial Advisor Recommend A Margin Loan?
:
Updated:
FINRA Warns Of “Boiler Room” Scams Disguised As Stock Pitches
:
Updated:
National Securities Faces FINRA Penalty Of $663K For Private Placements
:
Updated:
Can I Recover My GWG L Bond Losses?
:
Updated:
Scott Silver Discusses GWG Bonds With The Deal
:
Updated:
Massachusetts Fines DMG CryptoCurrency Company For Violating Securities Laws
:
Updated:
Joseph Stone Capital Supervisor Joseph Audia Suspended By FINRA
:
Updated:
David Khezri Permanently Barred By FINRA
:
Updated:
FINRA Suspends Broker Anthony Graziano For Failure To Supervise
:
Updated:
Broker Narith Long Barred After Unauthorized Securities Transactions
:
Updated:
FINRA Suspends Broker Todd Kling After Excessive Trading
:
Updated:
FINRA Suspends Joseph Fedorko For Excessive & Unsuitable Trading
:
Updated:
Stolen Russian Assets Worth $5M Bounty To Tipsters
:
Updated:
Marker Therapeutics Loses Case To Katalyst Securities
:
Updated:
Mario Rivero Jr. Arrested After SEC Files Charges
:
Updated:
FINRA Bars Broker Mark Korsch Following $1.28M Tax Liens And Client Disputes Of $7.4M
:
Updated:
FINRA Suspends Broker Alan Feigenbaum After Unauthorized Trading
:
Updated:
Las Vegas Lawyer Matthew Beasley Allegedly Ran $300M Ponzi Scheme, Shot By FBI
:
Updated:
Why Do Stockbrokers Change Firms?
:
Updated:
Broker Dana Vietor Of CFD Investments Subject Of Nine Claims Of Selling Away Totaling Over $5M
:
Updated:
Silver Law Group And Co-Counsel File Class Action Against GWG
:
Updated:
South Florida Legal Guide Again Names Silver Law Group Top Securities Fraud Law Firm
:
Updated:
CFTC Files Charges In $58 Million Foreign Currency Fraud And Misappropriation Scheme
:
Updated:
Are You The Victim Of A Romance Scam?
:
Updated:
Wells Fargo Allegedly Manipulated FINRA Arbitration System
:
Updated:
GWG Looks For Refinancing Funding After Missing Payments To L Bonds Investors
:
Updated:
FINRA Bars Broker James Dunn After Multiple Allegations Of Unauthorized Trading
:
Updated:
Broker William LeBoeuf Suspended Over Private Securities Transactions
:
Updated:
Silver Law Group Highlights SEC Bulletin On Interest-Bearing Crypto Accounts
:
Updated:
Silver Law Group Represents Investors Against GWG Holdings For L Bond Losses
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2022
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement February 2022
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2022
:
Updated:
FINRA Suspends Robert Anthony Guidicipietro After Client Loss Of $35K
:
Updated:
Silver Law Group Represents Investors With Losses In GWG L Bonds
:
Updated:
Alan Appelbaum – Aegis Capital Corporation
:
Updated:
Did Your Emerson Equity Broker Sell You GWG L Bonds?
:
Updated:
UBS Broker in Miami Accused Of Stealing $5.8 Million
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2022
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2022
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement January 2022
:
Updated:
Silver Law Group Represents Investors With Losses in GWG Bonds
:
Updated:
UBS And Credit Suisse Involved In Arbitration Over YES Accounts
:
Updated:
Northstar Financial Services (Bermuda)—If You Have Losses, Why Silver Law Group Should Represent You
:
Updated:
Northstar Financial Services (Bermuda)—Answers To Investors Frequently Asked Questions
:
Updated:
Northstar Financial Services (Bermuda)—What Can You Do To Get Your Money Back?
:
Updated:
Northstar Financial Services (Bermuda)—Who Is Liable And Why Your Broker May Be Responsible For Your Northstar Losses
:
Updated:
Northstar Financial Services (Bermuda)—What Happened To All The Money?
:
Updated:
Corrupt Corporate Cultures Caught—Examples Of Culture That Became A Company’s Undoing
:
Updated:
When Investigation Of Corrupt Corporate Cultures Reveals Other Problems
:
Updated:
Sexual Harassment On The Job — What Happens If I Complain To The SEC And Then I’m Retaliated Against?
:
Updated:
When Does SEC Get Involved In Allegations Relating To Sexual Harassment?
:
Updated:
The SEC Investigates Blizzard Of Sexual Harassment And Related Allegations At Activision
:
Updated:
Brokers With Bad FINRA Disciplinary Records
:
Updated:
NBC 6 Covers MJ Capital Funding Ponzi Scheme, Whose Victims Silver Law Group Represents
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December, 2021
:
Updated:
Did You Invest In An Aegis Financial IPO?
:
Updated:
SEC Files Fraud Charges In Texas-Sized Oil & Gas Ponzi Scheme Worth $122 Million
:
Updated:
Did Your Brokerage Firm Go Out of Business?
:
Updated:
Did Your Financial Advisor Borrow Your Money?
:
Updated:
Scott Silver A featured Guest On “The InvestmentNews Podcast”
:
Updated:
Common Investment Fraud Schemes
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2021
:
Updated:
FINRA Suspends Broker Jerry Rice
:
Updated:
Securities Fraud Attorneys Highlights Stockbroker Elder Financial Abuse
:
Updated:
Goldman Sachs And Morgan Stanley Sued Over Archegos Margin Call
:
Updated:
Securities And Exchange Commission Investigating GWG L Bonds
:
Updated:
Did You Lose Money With Aegis Capital Corp.?
:
Updated:
Parkland Securities And Investment Fraud Attorney’s
:
Updated:
Did Aegis Capital Corp. Churn Your Account?
:
Updated:
FINRA Suspends Aegis Capital Broker Kishan Parikh Over Excessive Trading
:
Updated:
Do You Have Losses From Investing With Broker Clyde Jensen?
:
Updated:
Alphonse Stazzone & Maxim Beliakov Suspended After Accusations Of Churning
:
Updated:
Did Your Financial Advisor Sell You Chegg, Inc. (CHGG)?
:
Updated:
Did You Invest In Chegg, Inc. (CHGG)?
:
Updated:
Silver Law Group Files Claims On Behalf Of Northstar Financial Services (Bermuda) Investors To Recover Losses
:
Updated:
Scott Silver Interviewed By The Palm Beach Post On Seeman Holtz Monitor
:
Updated:
FINRA Suspends Broker For Acting As Client’s Trustee
:
Updated:
FINRA Suspends Donatas Belys Vildzius For Excessive Trading And Churning
:
Updated:
Broker Joseph Michaletz Subject Of Eight Client Disputes Totaling $4.6M
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2021
:
Updated:
SEC Charges Former Broker Kenneth Welsh After Misappropriation Of Nearly $3M
:
Updated:
SEC Charges Three Individuals And Two Companies In Crowdfunding Fraud
:
Updated:
Marc Reda, Spartan Capital Securities Broker, Subject Of 19 Disclosures
:
Updated:
FINRA Bars Former SagePoint Brokers Cynthia Komarek & Grant Birkley After Unapproved Referrals
:
Updated:
Class Action Lawsuit Filed On Behalf Of Vipshop Holdings Ltd. (VIPS) Shareholders
:
Updated:
FINRA Sanctions Aegis Brokers Daniel O’Neil And Douglas Szempruch
:
Updated:
Broker Paul Vizanko Barred After Borrowing Money From Clients
:
Updated:
Silver Law Group, Coral Springs Law Firm, Represents Victims Of Investment Fraud & Ponzi Schemes
:
Updated:
After FINRA Ban, Ron Harrison Accused Of Investment Advisory Fraud While SEC Freezes Assets
:
Updated:
Scott Silver Interviewed By The Palm Beach Post On Seeman Holtz Monitor
:
Updated:
Adam Feierstein, Broker Formerly With Proequities And Woodbury, Barred By FINRA
:
Updated:
FINRA Bars Broker Adam Belardino After Employment Termination
:
Updated:
Caution Urged With Digital Asset And Cryptocurrency Investments
:
Updated:
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
:
Updated:
FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions
:
Updated:
First High-School Education Group (FHS) Subject Of Investigation For Possible Securities Laws Violations
:
Updated:
Broker Edward Turley Barred by FINRA Following Multiple Disputes
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules July 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information July 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July, 2021
:
Updated:
Was Wells Fargo Complicit In A Ponzi Scheme?
:
Updated:
Waterdrop Inc. (WDH) Subject Of Class Action Lawsuit On Behalf Of Investors
:
Updated:
Activision Blizzard, Inc. (ATVI) Subject Of Class Action Lawsuit Regarding Potential Securities Law Violations
:
Updated:
Investor Arbitration Claims Mount Against Murray Todd Petersen (Todd Petersen) For Diamond Sales
:
Updated:
HyreCar, Inc. (HYRE) Subject Of Class Action Lawsuit On Behalf Of Shareholders
:
Updated:
Longeveron Inc. (LGVN) Investigated By Silver Law Group
:
Updated:
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
:
Updated:
Silver Law Group Investigates Alleged Horizon Private Equity Ponzi Scheme
:
Updated:
FINRA Bars Broker Peter Ianace Following Investigation Into Private Business Activities
:
Updated:
Broker David Volpe Permanently Barred Amid Allegations Of Misappropriation Of Client Funds
:
Updated:
Silver Law Group Investigating GWG Holdings’ L Bonds
:
Updated:
SEC Issues Investor Alert On Bitcoin
:
Updated:
The SEC Offers More Training To Combat Financial Losses For Seniors
:
Updated:
Did Your Financial Advisor Act As A Trustee Or Beneficiary Of A Will Or Trust?
:
Updated:
Scott Silver Represents Seeman Holtz Clients In Class Action Lawsuit
:
Updated:
Live Ventures (LIVE) Subject Of Investigation For Possible Securities Laws Violations
:
Updated:
MJ Capital Funding Accused By SEC Of Operating As Ponzi Scheme, Silver Law Group Investigates
:
Updated:
Silver Law Group Investigating Claims On Behalf Of EcoVest Investors
:
Updated:
Did You Invest In An EcoVest Conservation Easement?
:
Updated:
FINRA Investigating Robinhood Founder For Not Being A Registered Broker
:
Updated:
Did Your Stockbroker Steal From Your Trust Or Estate?
:
Updated:
Did Your Stockbroker Engage In Elder Financial Fraud?
:
Updated:
Did Your Stockbroker Steal Your Money?
:
Updated:
SEC Warning About Brokers: Is Your Financial Advisor Registered?
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement June 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2021
:
Updated:
FINRA Bars Broker Dustin Shafer After Investigating Loan To Client
:
Updated:
Pre-IPO Stock Offerings Put Main Street Investors At Risk
:
Updated:
FINRA Bars Broker Kevin Meadows, Formerly Of IBN Financial Services
:
Updated:
Ross Baldwin Of Precious Commodities/National Coin Broker Indicted, Silver Law Group Represents Victims
:
Updated:
Did You Invest In L Bonds Offered By GWG Holdings?
:
Updated:
Miami Hedge Fund And Investment Fraud Attorneys
:
Updated:
Silver Law Group Investigating Rekor Systems (REKR)
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules April 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement March
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2021
:
Updated:
SEC Files Complaint Against Broker Mark Hopkins Alleging Misappropriation of Client Funds
:
Updated:
Scott Silver Interviewed By Investment News Over GPB’s Ugly Selling Tactics
:
Updated:
92-Year-Old Wins $19M From JP Morgan For Her Broker/Grandsons Alleged Misconduct as Stockbrokers
:
Updated:
Neptune Wellness (NEPT) Subject Of Investigation
:
Updated:
Heightened Supervision Of Family Members Acting As Stockbrokers
:
Updated:
Is Elder Financial Fraud Is On The Rise?
:
Updated:
SEC Charges Knight Nguyen Owners After $3.7 Million Fraud
:
Updated:
Silver Law Group Investigating Wunong Net Technology Company Limited (WNW)
:
Updated:
Scott Silver Gives Presentation On Ponzi Schemes To American Association Of Justice
:
Updated:
Silver Law Group Files Claims On Behalf Of Investors To Recover Northstar Financial Services (Bermuda) Losses
:
Updated:
Anixa Biosciences (ANIX) Subject To FDA Clinical Hold On Cancer Therapy
:
Updated:
Silver Law Group Files Lawsuit Against Seeman Holtz On Behalf Of Investors
:
Updated:
Silver Law Group Files Two Claims On Behalf Of Northstar Financial Services (Bermuda) Investors To Recover Losses
:
Updated:
Jose Aman Sentenced In Diamond-Backed Florida Ponzi Scheme
:
Updated:
Silver Law Group Investigates Miami Hedge Fund Manager Andrew Franzone And FF Fund Management
:
Updated:
Silver Law Group Investigating Alleged Ponzi Scheme Harbor City Capital & Founder Jonathan P. Maroney
:
Updated:
SEC Charges Another Florida Internet Marketing Company With Securities Fraud—Harbor City Capital
:
Updated:
FINRA Bars Broker Scott Reed Following Allegations of “Selling Away”
:
Updated:
Broker Megurditch “Mike” Patatian Subject Of FINRA Complaint Concerning Unsuitable REITs
:
Updated:
City National Bank Sued For Alleged Role In 1inMM Ponzi Scheme
:
Updated:
FINRA Again Bars Yousuf Saljooki After Multiple Allegations
:
Updated:
Is Your Stockbroker Family?
:
Updated:
Advisor Group (SagePoint, Royal Alliance, Triad) Increase Legal Reserves for GPB Claims
:
Updated:
Silver Law Group Sues Law Firm For Allegedly Keeping Escrow Funds
:
Updated:
Scott Silver Quoted In Retail Dive Article On Proposed Change To REIT Rules
:
Updated:
FINRA Bars Broker Christopher Black After Secret Loan From Customer
:
Updated:
Zachary Horwitz And 1inMM Capital Subject Of Alleged Ponzi Scheme
:
Updated:
Did You Invest In GPB Capital With Sagepoint Financial, Royal Alliance Associates, Woodbury Financial Services, Or Triad?
:
Updated:
Did You Purchase GPB From The Advisor Group?
:
Updated:
How To Recover Your GPB Losses
:
Updated:
Did Your Financial Advisor Recommend GPB?
:
Updated:
Top Florida Investment Fraud Lawyers
:
Updated:
Champignon Brands (SHRMF) Subject Of Investigation After Losses
:
Updated:
Broker Kevin J. Schaefer Subject Of $1.3M In Disputes
:
Updated:
AgEagle Aerial Systems (UAVS) Alleged To Be “Pump & Dump”
:
Updated:
Edward Dougherty, Woodbury Financial Services Broker, Subject Of 4 Disclosures
:
Updated:
Soleno Therapeutics, Inc. (SLNO) Subject Of Investigation
:
Updated:
Elder Financial Abuse Charges Against SunTrust Stockbrokers
:
Updated:
Jason Poff Accused Of Violating FINRA Rules Over Outside Business Activities
:
Updated:
FINRA Bars Gary Hammond For Selling Away And Involvement In Ponzi Schemes
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement February 2021
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules February 2021
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information February 2021
:
Updated:
John Timberlake, Formerly Of Carter, Terry & Company, Suspended
:
Updated:
Michael Shillin, Barred Broker Formerly With A.G.P/Alliance Global Partners, Indicted On 10 Counts, Now Subject Of 44 Disclosures
:
Updated:
David Karandos, Former Dinosaur Financial Group Broker, Subject Of Multiple Customer Complaints
:
Updated:
FINRA Bans Former Merrill Lynch Broker Ryan Raskin
:
Updated:
Suspension Of Infinity Q Redemptions Cause For Concern For Investors
:
Updated:
Worden Capital Management Churn Customer Accounts?
:
Updated:
Scott Silver Interviewed By CNBC About Social Media GameStop Bull
:
Updated:
FINRA Bars Tyler Delahunt After Selling Away Improper Loans From Customers
:
Updated:
Former Stifel, Nicolaus Broker Michael Fahsholtz Subject of Five Pending Customer Disputes
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2021
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement January
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information January 2021
:
Updated:
Microcap Stocks – Pump and Dump Schemes and Covid?
:
Updated:
Did Your Worth Group Or Treasure Coast Bullion Group Account Get Wiped Out In March 2020?
:
Updated:
Steven Luftschein Of Aegis Capital & Joseph Stone Capital LLC Barred From Industry For Churning
:
Updated:
Michael Tavel of LPL Financial LLC Suspended from Brokerage Industry for “Selling Away”
:
Updated:
Sumitro Pal Subject Of Four Pending Investor Disputes Alleging Damages Totaling $1.5M
:
Updated:
Real Estate Operation MG Capital Management Charged By SEC With Securities Fraud
:
Updated:
Steadfast Apartment REIT Lowers Distribution Rate
:
Updated:
Robinhood CEO Not Registered With Financial Industry Regulatory Authority – A Signal of Larger Risks to Main Street Investors to Come?
:
Updated:
Did You Lose Money Investing In Clover Health Investments, Corp.?
:
Updated:
GPB Capital Insiders Subject Of Federal Criminal Charges
:
Updated:
Silver Law Group Represents Investors In Claims Against Brokerage Firms Which Sold GPB Capital Holdings
:
Updated:
GPB-Selling Arete Wealth Management Ordered To Pay Investor $515k In FINRA Arbitration
:
Updated:
SEC Issues Investor Alert With Social Media Stock Warnings
:
Updated:
Investors Allege Charles Kulch of NEXT Financial Group, Inc. Recommended Unsuitable REITs
:
Updated:
Nicholas Palumbo Terminated For Selling Away
:
Updated:
Broker Thomas Fross Subject Of Client Dispute Over $119K
:
Updated:
Did You Invest With Peter Girgis Of SW Financial?
:
Updated:
Did You Invest With Raymond Ferro Of Woodbury Financial Services?
:
Updated:
John Krohn Subject Of Client Disputes Totaling $39.2M, Selling Away
:
Updated:
Broker Kevin Schaefer Subject Of $1.3M In Disputes
:
Updated:
SEC Bars Bill Hightower After Pleading Guilty To Wire Fraud
:
Updated:
Were You A Victim Of Viktor Gjonaj Real Estate Investment Fraud?
:
Updated:
FINRA Begins Investigation Of William Athes For Churning
:
Updated:
Did You Lose Money In The Parking REIT?
:
Updated:
Broker Linda Howard Subject Of Allegations In Client Estate
:
Updated:
FINRA Suspends Broker Gregory Williams After Multiple Customer Disputes
:
Updated:
David Bibo Accused Of Unsuitable Recommendations
:
Updated:
Wayne Miller Subject of $13.8M In Customer Disputes Related To ACG
:
Updated:
FINRA Bars James Couture Of LPL Financial After Termination
:
Updated:
Bit Digital, Inc. (BTBT) Subject Of Class Action Lawsuit
:
Updated:
CleanSpark, Inc. (CLSK) Subject Of Class Action Lawsuit
:
Updated:
FINRA Suspends Edward Matthes After Charges Of Wire Fraud After $1.78M Client Fund Misappropriation
:
Updated:
SEC Warns Of Investment Fraud Such As Ponzi Schemes And COVID-19 Stocks
:
Updated:
Silver Law Group Investigating fuboTV Inc. (FUBO) For Potential Violations Of Securities Laws
:
Updated:
FINRA Suspends Timothy Engelmann After Customer Loans
:
Updated:
FINRA Suspends Pratul Agnihotri For Undisclosed Outside Business Activity
:
Updated:
FINRA Indefinitely Suspends Narinder Singh After Two Regulatory Actions
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December, 2020
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December, 2020
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2020
:
Updated:
Keith Simmons Subject of $8M Dispute For Unsuitable Investment Recommendations
:
Updated:
Troy Goldberg Subject Of Customer Disputes Totaling $640K Over Private Placements
:
Updated:
Stuart Pearl Accused Of Acting Without Client Permission
:
Updated:
FINRA Bans Cynthia Cowden After Allegations Of Elder Financial Abuse
:
Updated:
FINRA Fines Cetera $1M, Issues Sanctions
:
Updated:
Forrest Jones Fired By Merrill Lynch, Under Investigation By SEC
:
Updated:
FINRA Suspends Broker Michael Pina For Sixteen Months After Borrowing $72K From Four Clients
:
Updated:
FINRA Bars Broker Roger Duval After Elder Financial Abuse
:
Updated:
FINRA Bars Peter Ianace After Concealing Outside Business Activities
:
Updated:
FINRA Bars Former Worden Capital Broker Christ Baltas
:
Updated:
CFTC Strengthens Whistleblower Protections By Withholding Award Amount
:
Updated:
Silver Law Group Investigates Bankrupt Hornbeck Offshore Bonds On Behalf Of Investors
:
Updated:
Law.com/Daily Business Review Profile Silver Law Group’s $1.8M SEC Whistleblower Award
:
Updated:
SEC Alleges Silicon Sage Builders Engaged in Real Estate Fraud
:
Updated:
Michael Martino, Four Points Capital Broker Subject Of Eight Disclosures
:
Updated:
Broker Matthew Platnico Faces Allegations Of $1.46M Unauthorized Trading
:
Updated:
SEC Awards Silver Law Group Client $1.8 Million Whistleblower Award
:
Updated:
Did Your Broker Sell You Northstar Financial Services (Bermuda)?
:
Updated:
Did Your SunTrust Broker Sell You Northstar Financial Services (Bermuda)?
:
Updated:
Did You Invest In Northstar Financial Services (Bermuda)?
:
Updated:
Boca Raton Securities Arbitration Claims – William Friedman
:
Updated:
Northern Dynasty Minerals Ltd. (NAK) Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group Featured In InvestmentNews.com Article About FINRA Arbitration Claims Against GPB Capital Selling Brokers
:
Updated:
Daniel Raupp, Concorde Investment Services Broker, Subject Of 7 Disclosures
:
Updated:
Scott Silver Interviewed By South Florida Business Journal About Lawsuits Against Miami Hedge Fund
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2020
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November, 2020
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2020
:
Updated:
FINRA Bans Thomas Marino After Allegations Of Unsuitable Investments
:
Updated:
Bradley Renberg Subject Of Unsuitability Allegations
:
Updated:
FINRA Suspends Broker Hector Luna After Making His Family Beneficiaries For Elderly Client
:
Updated:
Brian DiBrino Subject Of Two Customer Disputes Totaling $625K
:
Updated:
Silver Law Group Representing Victims Who Invested In Coral Gables Asset Management
:
Updated:
Omar Hammad-Randolph, Merrill Lynch Broker, Suspended For Borrowing From Client
:
Updated:
Marijuana Securities Fraud Cases Are On The Rise In South Florida
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2020
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2020
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2020
:
Updated:
Class Action Lawsuit Filed For Neovasc Inc. (NVCN) Investors
:
Updated:
Jesse Kovacs, PTS Brokerage Broker, Suspended For Private Securities Transactions
:
Updated:
Silver Law Group Files Class Action Lawsuit Against Eckert Seamans Over Par Funding
:
Updated:
Diamond-Backed Cryptocurrency Ponzi Scheme Principal Jose Aman Indicted
:
Updated:
FINRA Bans Anthony Hall After Allegations Of Unpaid $309K Client Loan
:
Updated:
Bryant Caveness, Former Ameriprise Broker, Terminated For Violations
:
Updated:
Did You Invest with Cetera Advisor Networks Or Stanley Secor?
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2020
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules October 2020
:
Updated:
Ronald Birnbaum, Advisory Group Equity Services Broker, Sold GPB Capital To Investors
:
Updated:
New York City REIT (NYC) Sinks After Public Listing And Split From AR Global
:
Updated:
Do You Have Investment Losses With LOOP Industries?
:
Updated:
11th Circuit Clarifies What Legal Claims Belong To Receivers vs. Defrauded Investors In Ponzi Scheme Receiverships
:
Updated:
Gary Ginsberg, Ameriprise & Royal Alliance Broker, Sold GPB Capital To Investors
:
Updated:
What is PIABA (Public Investors Advocate Bar Association)?
:
Updated:
Silver Law Group Investigating Golar LNG Limited (GLNG)
:
Updated:
FINRA Office Of Dispute Resolution Is Now FINRA Dispute Resolution Services
:
Updated:
Silver Law Group Investigates Aquestive Therapeutics, Inc. (AQST)
:
Updated:
Aegis Financial Broker Robert Buffington Facing Multiple Allegations
:
Updated:
Marcello Lattuca – NBC Securities
:
Updated:
Silver Law Group Investigating Zosano Pharma Corporation (ZSAN)
:
Updated:
Did You Invest In Cardone Equity Fund V Or Cardone Equity Fund VI?
:
Updated:
Did You Invest In A Grant Cardone Real Estate Project?
:
Updated:
Did You Invest With Cardone Capital, LLC?
:
Updated:
Nano-X Imaging Ltd. (NNOX) Class Action
:
Updated:
Nikola Corporation (NKLA) Investigated By Silver Law Group On Behalf Of Investors
:
Updated:
Janney Montgomery Discharges Broker Apostolos Pitsironis After Misappropriating Customer Funds And Borrowing From Clients
:
Updated:
Kevin Wilson Subject of $4.4M In Client Dispute Claims
:
Updated:
Joshua Stivers Faces Allegations Of Unsuitability
:
Updated:
Dain Stokes Barred After Misappropriation Allegations And SEC Actions
:
Updated:
Victor Rigoni Resigns From Cetera After Failing To Disclose Tax Liens
:
Updated:
Aurora Cannabis Inc. (ACB) Investigated For Potential Securities Laws Violations
:
Updated:
SEC Sues RRBB Asset Management, LLC And Owner Carl Schwartz In Alleged “Cherry Picking” Scheme
:
Updated:
Silver Law Group Investigates Jiayin Group Inc. (JFIN) On Behalf Of Shareholders
:
Updated:
SEC Sues Geoffrey Thompson For Fraudulent Securities Offering In Failed Cannabis Company, Covalent
:
Updated:
Moloney Securities Broker Jeffrey Cohen Hit With Unsuitability Allegations
:
Updated:
FINRA Bars Dennis J. Murphy From Securities Industry After Investigation Into Unsuitable Trading
:
Updated:
Arthur Hoffman Barred From Securities Industry Following FINRA Investigation
:
Updated:
SEC Brings Charges Against David Hu, Founder Of International Investment Group, LLCC, For Allegedly Orchestrating $60 Million Ponzi Scheme
:
Updated:
SEC Issues Investor Alert Urging Caution For “Broadly Advertised” Investments
:
Updated:
Blink Charging Company (BLNK) Subject Of Class Action Lawsuit For Investors
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2020
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2020
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information August 2020
:
Updated:
Scott Silver Re-Elected Chair Of Securities And Financial Fraud Group Of The American Association For Justice
:
Updated:
Silver Law Group Investigating Fennec Pharmaceuticals (FENC) On Behalf Of Investors
:
Updated:
Investors In Allianz Global Investors Structured Alpha Funds Suffer Massive Losses
:
Updated:
YayYo (YAYO) Subject Of Class Action Lawsuit Regarding IPO And Alleged Securities Fraud
:
Updated:
SEC Charges Michael Barry Carter With Fraud For Stealing Millions From Clients
:
Updated:
Silver Law Group Writes Letters To Florida Senators Rubio and Scott Regarding Senior Victims Of Fraud Compensation Act (Edith’s Bill)
:
Updated:
Silver Law Group Represents Par Funding Investors
:
Updated:
NY Times Reports SEC And FBI Investigating YieldStreet Investments
:
Updated:
Silver Law Group Representing Investment Fraud Victims Of David Coggins And Coral Gables Asset Management
:
Updated:
SEC Publishes Investor Bulletin: “Tips for Teachers”
:
Updated:
James McKinney, Former Cetera Advisors Broker, Barred By FINRA
:
Updated:
James Kennedy, Former Woodbury Financial Services Broker, Barred By FINRA
:
Updated:
Did You Invest In PAR Funding Through Retirement Evolution Group, LLC Or Its principal, John Gissas?
:
Updated:
Did You Invest In PAR Funding Through ABFP Management Company, LLC, ABetterFinancialPlan.com, Or Its Principal, Dean J. Vagnozzi?
:
Updated:
Did You Invest In PAR Funding Through United Fidelis Group Corp., Fidelis Financial Planning, LLC Or Its Principal, Michael C. Furman?
:
Updated:
Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme
:
Updated:
Steven Rodemer, Former Stifel, Nicolaus Broker, Discharged For Alleged Unauthorized Withdrawal From Client’s Account
:
Updated:
Gerald Dewes, Former Cadaret, Grant & Co. Broker, Barred After Selling Away Allegation
:
Updated:
Imran Razvi, Former Lincoln Financial Securities Broker, Suspended By FINRA
:
Updated:
Felix Chu, Former NYLife Securities Broker, Barred By FINRA
:
Updated:
Paul Weiss, Former Mora WM Securities Broker, Suspended For Undisclosed Business Activity
:
Updated:
David Weisberg, Former Worden Capital Management LLC Broker, Suspended By FINRA
:
Updated:
FINRA Arbitration – What Is A Product Case?
:
Updated:
FINRA Suspends Registered Individuals For Failure To Comply With Award Or Settlement June 2020
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2020
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2020
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Madison Avenue Securities Based On GPB Investment
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information July 2020
:
Updated:
FINRA Suspends Registered Individuals For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July 2020
:
Updated:
FINRA Suspends Registered Individuals For Violations of FINRA Rules July 2020
:
Updated:
Ricardo Turlan, Former UBS Broker, Discharged For Alleged Unsuitable Trading
:
Updated:
Dustin Shafer, Former Money Concepts Broker, Alleged To Have Recommended GPB Capital
:
Updated:
George Schmidt, Jr, Former Lincoln Financial Advisors Broker, Barred By FINRA
:
Updated:
Scott Silver Interviewed For Time Article On Alleged Coronavirus Scam
:
Updated:
SEC Sues Raymond James Broker Frederick Stow For Allegedly Stealing Almost $1 Million From Seniors
:
Updated:
Jeffrey Dixson, Former Madison Avenue Securities Broker, Subject Of Customer Disputes For Sale Of GPB Capital
:
Updated:
Co-Diagnostics, Inc. (CODX) Subject Of Class Action Lawsuit For Alleged False Statements Related To COVID-19 Tests
:
Updated:
Masood Azad, Barred First Allied Securities Broker, Accused Of Selling Away
:
Updated:
James Daughtry, Barred Kestra Investment Services Broker, Subject Of 2 Disclosures
:
Updated:
Did Your Stockbroker Churn Your Account?
:
Updated:
South Florida Legal Guide Names Silver Law Group A Top Securities Fraud Law Firm
:
Updated:
SagePoint Ordered By FINRA To Pay $1.6 Million For Alleged Unit Investment Trust (UIT) Violations
:
Updated:
FINRA Suspends Stockbrokers For Failing To Comply With Award Or Settlement May 2020
:
Updated:
FINRA Bars Stockbrokers For Failing To Provide Information May 2020
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules May 2020
:
Updated:
Steepener Note Investors Suffer Due To Low Or Inverted Interest Rate Environment
:
Updated:
Did Your Stockbroker Sell You Steepener Notes?
:
Updated:
UBS Broker Jose Cornide Subject Of 11 Customer Disputes For Yield Enhancement Strategy (YES)
:
Updated:
Purshe Kaplan Sterling Compliance Officer Warned Others About GPB Capital
:
Updated:
Bryon Martinsen Of Centaurus Financial Suspended By FINRA After Private Securities Transactions Related To The Parking REIT
:
Updated:
Jaime Westenbarger, Barred Broker, Subject Of 10 Complaints
:
Updated:
Stockbrokers Should Not Borrow Money From Customers
:
Updated:
FINRA Securities Helpline For Seniors Grows In 2020
:
Updated:
Timothy Johnson Accused Of Diverting Client Funds
:
Updated:
Stephen Fry Barred By FINRA After $1.2M Funds Conversion
:
Updated:
FINRA Suspends Broker Hugh Barndollar For Two Years
:
Updated:
GPB Capital Misled Investors, Massachusetts Securities Regulators Say
:
Updated:
Four Disputes Filed Against Arkadios Relating To Kevin Rainwater
:
Updated:
FINRA Bars John Wyshak After Two Regulatory Actions
:
Updated:
Jeremy Rosen, Nationwide Planning Associates Broker, Accused Of Making Unsuitable Investments For Customers
:
Updated:
Broker Mark Cline Subject Of Multiple Customer Disputes Totaling $2.8M
:
Updated:
Shocking Tale Of Elder Financial Abuse By South Florida Stockbroker David Del Rio
:
Updated:
Ronald Hannes Permanently Barred From The Industry By FINRA
:
Updated:
FINRA Investigating Stockbroker, Pratul Agnihotri, For Conversion Of Customer Funds And FINRA Rule Violations
:
Updated:
John Krohn, Former Principal Securities Broker, Accused Of Selling Away
:
Updated:
FINRA Disciplinary Actions For February 2020 Names Registered Individuals Barred For Failure To Provide Information
:
Updated:
FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
:
Updated:
FINRA Disciplinary Actions For February 2020 Names Registered Individuals Suspended For Failure To Provide Information
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules January 2020
:
Updated:
FINRA Disciplinary Actions For January 2020 Names Registered Individuals Barred For Failure To Provide Information
:
Updated:
FINRA Disciplinary Actions For January 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
:
Updated:
FINRA Publishes Procedures For Holding Securities Arbitration Hearings Via Zoom
:
Updated:
TCA Global Credit Master Fund Has Sued Many Companies In Broward County, Florida
:
Updated:
The Parking REIT Offers Investors “No Assurance” Liquidity Event Will Occur At All
:
Updated:
Scott Silver Comments On SEC’s Mutual Fund Names Rule
:
Updated:
Silver Law Group Files Class Action Lawsuit Against TCA Global Credit Fund, Bob Press, Others
:
Updated:
Charles Dorraine Barred For Refusing To Testify About Puerto Rico Bonds
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For April 2020 Names Registered Individuals Barred For Failure To Provide Information
:
Updated:
FINRA Disciplinary Actions For April 2020 Names Registered Individuals Suspended For Failure To Comply With Award Or Settlement Agreement
:
Updated:
Stockbroker Theft Still Prevalent In 2020
:
Updated:
SEC Reveals Another Florida Marijuana Investment Fraud – “FirstCanna” Fraud
:
Updated:
Cetera Stops Sales Of REITs And Other Real-Estate-Based Funds Amid Pandemic
:
Updated:
YayYo IPO, Underwritten By Aegis Capital Corp., Plagued By Allegations Of Fraud
:
Updated:
Silver Law Group Investigating David Rockwell And Cetera Advisors, LLC
:
Updated:
Silver Law Group Files FINRA Arbitration Claim On Behalf Of A Customer Of David Krumrey Of Oppenheimer & Co., Inc.
:
Updated:
YieldStreet Being Investigated By Silver Law Group On Behalf Of Investors
:
Updated:
Did You Invest in the AllianceBernstein Securitized Asset LP?
:
Updated:
Silver Law Group Investigating AllianceBernstein Energy Opportunity Funds
:
Updated:
Silver Law Group Launches Coronavirus Task Force To Investigate Financial Wrongdoing, Including Nonpayment Of Business Interruption Insurance
:
Updated:
Silver Law Group Is Investigating Aytu BioSciences (AYTU)
:
Updated:
Kalos Capital Inc. Dealer Of GPB Capital And Wildermoth Endowment Strategy Fund (WESFX)
:
Updated:
UBS ETRACS ETNs Being Investigated By Silver Law Group On Behalf Of Investors
:
Updated:
Leveraged ETFs Are Closing, Causing Huge Losses For Investors
:
Updated:
FINRA Disciplinary Actions For March 2020 Names Registered Individuals Barred For Failure To Provide Information
:
Updated:
FINRA Disciplinary Actions For March 2020 Suspends Registered Individuals For Failure To Provide Information
:
Updated:
FINRA Disciplinary Actions For March 2020 Name Registered Individuals Suspended For Failure To Comply With FINRA Arbitration Award Or Settlement
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Wells Fargo Regarding Broker’s Real Estate Advice
:
Updated:
Silver Law Group Is Investigating Beyond Meat, Inc. (BYND)
:
Updated:
Silver Law Group Is Investigating PNC Bank Regarding Involvement With Alleged Ponzi Scheme The Income Store
:
Updated:
EquiAlt LLC, FL Real Estate Company, Accused By SEC Of Operating Like A Ponzi Scheme
:
Updated:
Robert Perlman Subject Of Customer Dispute For Selling UBS YES Strategy
:
Updated:
Christopher Tolmacs, Barred Broker Formerly With Triad Advisors, Subject Of 18 Disclosures
:
Updated:
Eric Weschke And Kalos Capital Subject Of FINRA Arbitration Claim For Selling GPB Capital
:
Updated:
Silver Law Group Comments On Proposed FINRA Rule Limiting Brokers Becoming Customer’s Beneficiary
:
Updated:
Matthew Crafa, Royal Alliance Broker, Subject Of 2 Disclosures
:
Updated:
TCA Fund Management Group Liquidating Main Investment Fund Amid SEC Probe & Whistleblower Complaint
:
Updated:
Robert Montes, Barred Broker Formerly With Morgan Stanley, Subject Of 4 Disclosures
:
Updated:
Demos Argyros, Broker With Oppenheimer & Co., Subject Of 5 Disclosures
:
Updated:
Steven Reznic, Former Broker With Raymond James, Subject Of 24 Disclosures
:
Updated:
SEC Gets Emergency Asset Freeze, Accuses The Income Store Of Being A “Ponzi-Like Scheme”
:
Updated:
Michael Carter Barred After Unauthorized Withdrawals Totaling $5.2M
:
Updated:
FINRA Bars Broker Stefan Pastor After Unauthorized Trading Allegations
:
Updated:
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme
:
Updated:
Roger Owens, Previously Of Cetera Advisors, Suspended By FINRA For Unauthorized Sale Of Woodbridge Promissory Notes
:
Updated:
Ricky Mantei Of Centaurus Financial Facing Numerous Customer And Regulatory Disputes
:
Updated:
Robert Douglas Armstrong Of Dawson James Securities, Inc.
:
Updated:
Customer Disputes Continue to Pile Up Against Katherine Greer Nishnic of Centaurus Financial, Inc. for Recommendations of Unsuitable Investments, Including REITs
:
Updated:
Customer Alleges Broker Misconduct Against Jeanpierre Ayala Of Laidlaw & Company
:
Updated:
Suspended Broker Stephen Carver, Previously Of Cetera Advisors LLC, Facing $9.3 Million Claim Of Elder Abuse
:
Updated:
Linda Zara Of Summit Brokerage Services Suspended And Fined For Entering Into Improper Loan Arrangement With An Elderly Client
:
Updated:
Did Your Financial Advisor Suggest You Invest In Perry Santillo’s $115.5M Ponzi Scheme?
:
Updated:
Law.com Covers Silver Law Group’s Lawsuit Against Phillip Timothy Howard
:
Updated:
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
:
Updated:
Dexter Thomas, Previously-Registered Broker With LPL In Dallas, Texas, Subject Of 29 Disclosures
:
Updated:
Bobby Coburn, Barred Broker Of Securities America, Subject Of 4 Disclosures
:
Updated:
Barred Broker Nicolas Barrios, Formerly With UBS, Subject Of 6 Disclosures
:
Updated:
Broker Mercer Hicks Subject Of FINRA Disciplinary Hearing Over REITS
:
Updated:
SEC Charges Against GPB Capital Likely On The Horizon
:
Updated:
Collectability May Be An Issue For GPB Class Action Plaintiffs – Broker-Dealers Still Liable
:
Updated:
Silver Law Group Files Claims for Unsuitable Sale of a Reg D Private Placement
:
Updated:
SEC Puts A Stop To Florida Ponzi Scheme That Targeted Seniors
:
Updated:
FINRA Bars Benjamin Lowder After Allegations Of Fraud And Deceptive Trade Practices
:
Updated:
Allegations of Unsuitable Recommendations Filed Against Broker Christopher Bice
:
Updated:
Silver Law Group Is Investigating WeWork On Behalf Of Investors
:
Updated:
Wells Fargo Broker Leonard Kinsman Accused Of Falsifying Records
:
Updated:
Raymond James Broker Maria Hendershott Accused Of Securities Violations In Texas
:
Updated:
FINRA Suspends Broker Gregory Ricker
:
Updated:
Peachcap Securities Broker David Miller Subject Of Seven Client Disputes
:
Updated:
Eight Customer Disputes Filed Against Broker Shimson Plotkin
:
Updated:
Broker Trevor Rahn Settles $500K Excess Trading Dispute
:
Updated:
Broker Antoine Souma Settles $14M Customer Dispute
:
Updated:
Allegations Of Excessive Trading Against Broker Debra Lambert
:
Updated:
Broker Andrew Krakauer Subject Of $390K Claim
:
Updated:
FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals For Violations Of FINRA Rules
:
Updated:
Is GPB Capital A Ponzi Scheme?
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
:
Updated:
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Failing To Comply With FINRA Award
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
:
Updated:
Alberto Sanchez, Barred Broker Formerly With SagePoint Financial, Subject of 3 Disclosures
:
Updated:
Silver Law Group Files Arbitration Claims For Clients Of Flynn Wealth Management & James Flynn
:
Updated:
Silver Law Group Investigates Canopy Growth Corporation (CGC)
:
Updated:
Silver Law Group Files Another GPB Claim Against SagePoint Financial
:
Updated:
James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures
:
Updated:
Silver Law Group Files Investment Fraud Lawsuit Against Phillip Timothy Howard
:
Updated:
Scott Silver Presents At South Florida Interactive Marketers Association (SFIMA)
:
Updated:
Silver Law Group Investigates Lipocine Inc. (LPCN)
:
Updated:
GPB Capital’s Connection To The Church Of Scientology
:
Updated:
Scott Silver Presents At 2019 PIABA Meeting On Variable Annuity Fraud
:
Updated:
Silver Law Group Represents Investors In Greenville, South Carolina
:
Updated:
GPB Capital’s Chief Compliance Officer And Managing Director Indicted For Obstruction Of Justice
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement
:
Updated:
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information
:
Updated:
GPB Capital Now Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group’s Scott Silver Interviewed For New York Times Article On Ponzi Schemes
:
Updated:
Registered Investment Advisor McDermott Accused By SEC Of Defrauding Clients
:
Updated:
Silver Law Group Investigates Zynerba Pharmaceuticals (ZYNE)
:
Updated:
CFTC Issues Whistleblower Alert To Public About Becoming Eligible For Financial Awards
:
Updated:
Silver Law Group Continues To File FINRA Arbitration Claims Against Voya Financial Regarding James Flynn
:
Updated:
Gabriel Block, Barred Broker Formerly With First Standard Financial Company, Subject Of 17 Disclosures
:
Updated:
Marcus Boggs, Former Merrill Advisor, Being Sued By SEC Suing For Stealing From Clients
:
Updated:
Curaleaf Holdings, Inc. (CURLF), Cannabis Operator, Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group Investigates Sonim Technologies, Inc. (SONM) For Possible Securities Laws Violations
:
Updated:
Silver Law Group Files FINRA Arbitration Claim After Broker Borrows Client’s Funds And Doesn’t Repay
:
Updated:
Did You Buy GPB Capital From SagePoint Financial Inc.?
:
Updated:
Were You Overcharged For Short Selling Beyond Meat (BYND)?
:
Updated:
Silver Law Group Investigates Maxar Technologies Ltd (MAXR)
:
Updated:
SEC Whistleblower Awarded Over $1.8 Million In August 2019
:
Updated:
Were You Overcharged For Short Selling At Your Discount Brokerage?
:
Updated:
Canntrust (CTST) Subject Of A Class Action Lawsuit
:
Updated:
Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in July 2019 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in July 2019 for Failing to Comply with FINRA Rules
:
Updated:
GPB Capital Investments Down Dramatically In Value
:
Updated:
GPB Capital Sued By Business Partner, Accused Of “Serious Financial Misconduct”
:
Updated:
Robert High II Barred After FBI Investigation For Misappropriation Of Funds
:
Updated:
James Schwartz Barred By FINRA After Churning Customer Accounts
:
Updated:
GPB Capital Securities Arbitration Claims Continue To Pile Up Against Brokerage Firms
:
Updated:
Oasmia Pharmaceutical AB (OASM) Being Investigated For Potential Violations Of Securities Laws
:
Updated:
Barry Garapedian, Morgan Stanley Advisor, Subject Of 14 Disclosures
:
Updated:
FINRA Suspends Registered Individuals in June 2019 for Violations of FINRA Rules
:
Updated:
In June 2019 FINRA Suspends Registered Individuals for Failures to Comply with FINRA Rules
:
Updated:
FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules
:
Updated:
GPB - Wall Street’s Highest Commission Product Just Became Retail Investors Biggest Nightmare
:
Updated:
SEC Publishes Fact Sheet For Identifying Senior Financial Exploitation
:
Updated:
Stockbrokers Cannot Inherit Customer Accounts
:
Updated:
FBI Investigates Edward Matthes After Allegations Of Stockbroker Theft
:
Updated:
SEC Shuts Down Argyle Coin Ponzi Scheme
:
Updated:
Stockbrokers Are Prohibited From Inheriting Money From Clients
:
Updated:
Conagra Brands (CAG) Is Being Sued For Allegedly Misleading Shareholders
:
Updated:
Pyxus International, Inc. (PYX) Subject Of A Class Action Lawsuit
:
Updated:
Ascena Retail Group, Inc. (ASNA) Subject Of A Class Action Lawsuit
:
Updated:
Hecla Mining Company (HL) Subject Of A Class Action Lawsuit
:
Updated:
CBL & Associates Properties, Inc. (CBL) Subject Of A Class Action Lawsuit
:
Updated:
RCI Hospitality Holdings (RICK) The Subject Of A Class Action Lawsuit
:
Updated:
Nabriva Therapeutics (NBRV) Subject Of A Class Action Lawsuit
:
Updated:
Momo, Inc. (MOMO) Subject Of A Class Action Lawsuit
:
Updated:
Intersect ENT, Inc. (XENT) Subject Of A Class Action Lawsuit
:
Updated:
Dynagas LNG Partners LP (DLNG) Subject Of A Class Action Lawsuit
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Centaurus Related To Brokers Cindy Chiellini And Ricky Mantei
:
Updated:
Silver Law Group Files Another FINRA Arbitration Claim Against Voya Financial Advisors Related To James Flynn
:
Updated:
GPB Capital Discloses It’s Two Biggest Funds Have Declined Significantly In Value
:
Updated:
Herbert Hafen Barred After Misappropriating Client Funds
:
Updated:
FINRA Bars Christopher Hellman
:
Updated:
FINRA Bars Broker Adam Lopez After Investigations Into Misconduct
:
Updated:
Dudley Stevens Barred By FINRA After Third-Party Wire Allegations
:
Updated:
FINRA Bars John Spach After Various Misconduct Allegations
:
Updated:
SEC, FINRA Bar William Gennity, Issue $2M Judgment For Client
:
Updated:
Yassin Mohamed And National Securities Corp.
:
Updated:
David Fagenson Suspended In FINRA Investigation For Unsuitable Trading
:
Updated:
FINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules
:
Updated:
FINRA Disciplinary Actions for May 2019 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in May 2019 for Violations of FINRA Rules
:
Updated:
Broker Jackie Wadsworth Subject Of Disclosures, Including REIT UDF IV
:
Updated:
Silver Law Group Files Another Arbitration Claim Against Voya Financial Advisors Regarding James Flynn
:
Updated:
FINRA Bars Broker Kristian Gaudet For Personal Use Of Client Funds
:
Updated:
FINRA Bars Broker Scott Donato
:
Updated:
37,000 Victims Still Paying 6.3 Million Monthly For Limited Health Insurance With Simple Health Plans
:
Updated:
The Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group Helps Investors Recover For Stockbroker Misconduct Through FINRA Arbitration
:
Updated:
Wellington, Florida-Based Winfield Capital Partners, LP And Its Principals Under Investigation
:
Updated:
Suspended Newbridge Securities Corp. Broker David Fagenson Under Investigation for Unsuitable Recommendations in Elderly Customer Accounts
:
Updated:
David Marshall, Former California-Based Independent Financial Group Broker, Under Investigation
:
Updated:
What Does A Financial Advisor’s Senior Designation Mean?
:
Updated:
Massachusetts Charges Former Advisor with Stealing from Retiree
:
Updated:
SEC Halts Wellington, Florida Investment Scheme
:
Updated:
FINRA Arbitration Panel Ordered Morgan Stanley To Pay Former NFL Cornerback And Mega Millions Lottery Winner $4.2 Million For Alleged Negligent Supervision
:
Updated:
Former Morgan Stanley Broker Claims FINRA Suit Reflects Industry’s Overall Discrimination Against Women
:
Updated:
Did You Invest In Amarin Corporation plc (AMRN)?
:
Updated:
FINRA’s Unpaid Arbitration Awards Problem
:
Updated:
FINRA Suspends Christopher Bennet After Unauthorized Trading
:
Updated:
FINRA Suspends Broker Gabriel Block, Permanent Bar Pending
:
Updated:
FINRA Bars Marcus Boggs After $5.6M In Unauthorized Funds Transfers
:
Updated:
FINRA Suspends Danard (Dan) Brown After Arbitration Judgment
:
Updated:
Unpaid Awards: FINRA Publishes List Of Arbitration Awards In Arrears Along With Names
:
Updated:
American Realty Capital REIT Now Known As New York City REIT
:
Updated:
Richard Pittman, Cetera Advisors, Customer Disputes Total $1M
:
Updated:
FINRA Arbitration Next For Wells Fargo And Two Advisors
:
Updated:
Recent Cases For Robert Child Settled For Total Of $2.5M
:
Updated:
FINRA Bars Robert Lee Basile For Elder Financial Abuse
:
Updated:
Cetera Fined $1.4M For Churning Broker
:
Updated:
Update On Bradley Tennison And The Joseph Project
:
Updated:
SEC Now Investigating Former Broker John Greg Schmidt For Misappropriation Of $1.16M
:
Updated:
FINRA Finds Compliance To Be Lax Around Illiquid Securities
:
Updated:
Stifel, Niclaus, and Francis Weller Censured After Excess Client Fees
:
Updated:
SEC Sues Direct Lending Investments For Inflated Charges And Returns
:
Updated:
FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office
:
Updated:
FINRA Suspends John-Aaron Lenhert After Loans From Firm Clients
:
Updated:
Broker Chris Kubiak Arrested, Charged With Felony Theft By Fraud
:
Updated:
Allegis Discharges Brandon Stimpson For Ignoring Firm Policies, Code Of Ethics
:
Updated:
Robert Witt Barred By FINRA
:
Updated:
FINRA Bars Richard Minichino
:
Updated:
Devin McCabe Accused Of Churning And Trading Allegations
:
Updated:
FINRA Bars Omar K. Henry
:
Updated:
Broker Sierra Alexandria CrockerBarred By FINRA After Fraud Arrest
:
Updated:
Jonathan Ebel Subject Of Three Disclosures On His BrokerCheck Report
:
Updated:
FINRA Ends Bar On Broker Francisco Valenzuela
:
Updated:
Dr. Philip Frost Offers SEC Settlement In Florida Microcap Stock Scheme
:
Updated:
Health Insurance Innovations (HIIQ) Ends Relationship With Simple Health Plans
:
Updated:
Health Insurance Innovations, Inc. (HIIQ) Subject Of Class Action Lawsuit
:
Updated:
Silver Law Group Files First Arbitration Claim Against SagePoint Financial Relating To GPB Capital
:
Updated:
What Is The UBS Yield Enhancement Strategy (YES)?
:
Updated:
Silver Law Group Investigating Village Farms International, Inc. (VFF) For Potential Securities Laws Violations
:
Updated:
Apyx Medical Corporation (APYX) The Subject Of A Class Action Lawsuit
:
Updated:
Silver Law Group Investigates Level Brands, Inc. (LEVB) For Potential Securities Fraud
:
Updated:
Federal Securities Class Action Lawsuit Filed Against Fusion Connect, Inc. (FSNN)
:
Updated:
AAC Holdings, Inc. (AAC) Being Investigated By Silver Law Group
:
Updated:
FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules
:
Updated:
In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules
:
Updated:
KushCo Holdings Inc. (KSHB) To Restate Financial Statements
:
Updated:
MacKenzie Realty Launches Tender Offer To Purchase Phillips Edison
:
Updated:
Scott Silver Speaks To AutoNews.com About GPB’s Legal Troubles
:
Updated:
The Parking REIT Subject Of A Class Action Lawsuit
:
Updated:
Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in March 2019 for Violations of FINRA Rules
:
Updated:
FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules
:
Updated:
FINRA Fines H. Beck $400,000 For Failing To Enforce Procedures
:
Updated:
FINRA Suspends Registered Individuals in February 2019 for Violations of FINRA Rules
:
Updated:
In February 2019, FINRA Bars Registered Individuals Due to Violations of FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in February 2019 for Failing to Comply with FINRA Rules
:
Updated:
Were You Overcharged Mutual Fund Fees By Fidelity?
:
Updated:
Christopher Bice Of SagePoint Financial Subject Of 5 Disclosures For $1.75 Million
:
Updated:
Did You Purchase GPB From William Crafa Of Royal Financial Associates?
:
Updated:
Financial Advisor’s Due Diligence On GPB Capital Holdings
:
Updated:
Silver Law Group Investigating Brokerage Firms that Sold GPB Capital Private Placements
:
Updated:
FBI Now Investigating GPB Capital Holdings
:
Updated:
Massachusetts Questions Fidelity’s Fees
:
Updated:
Laidlaw & Company FINRA Complaint
:
Updated:
Did You Invest With NEXT Financial Group?
:
Updated:
Salt Lake City Precious Metals Dealer Engaged in $170M Ponzi Scheme
:
Updated:
Wintercap SA International Fraud Scheme That Allegedly Generated More Than $165 Million of Illegal Sales
:
Updated:
New York Securities Boiler Room Scheme Targeting Seniors
:
Updated:
Ex-lawmaker Convicted of Stealing $3 million From Widows
:
Updated:
Did You Lose Money With Atlanta, Georgia Stockbroker Sean Kelly?
:
Updated:
Why Does Wall Street Oppose a Fiduciary Duty?
:
Updated:
NAIFA Files Anti-Investor Lawsuit Against New York State
:
Updated:
New York City Broker Accused of Churning
:
Updated:
Miami CEO Arrested on Commodities Fraud Charges
:
Updated:
Boca Raton, Florida: Silver Law Group Securities Arbitration Attorneys Seeks to Aid Aggrieved Investors
:
Updated:
Orlando, Florida: Silver Law Group Securities Fraud Attorneys Seeks to Aid Aggrieved Investors
:
Updated:
Tampa, Florida: Silver Law Group Stockbroker Misconduct Lawyers Seeks to Aid Aggrieved Investors
:
Updated:
The Villages, Florida: Silver Law Group, Elder Financial Fraud Attorneys, Seeks to Aid Aggrieved Investors
:
Updated:
Paul Murans Settles $250K Customer Dispute, Fights Unsuitability Allegations
:
Updated:
Broker Erik Pica Subject Of Four Disclosures Totaling Over $900K
:
Updated:
Katherine Nishnic
:
Updated:
JPMorgan Hit With Class Action Over Spoofing Allegations
:
Updated:
New York’s Regulation 187 May Cause Problems For Insurance Agents, Brokers And Their Clients
:
Updated:
LPL Financial Fined $2.75M For AML And Complaint Failures
:
Updated:
FINRA and SEC Follow Massachusetts in GPB Capital Investigations
:
Updated:
Five Year Sentence For Former Morgan Stanley Broker James Polese
:
Updated:
Scott Kaup
:
Updated:
New Customer Disputes For Broker Cindy Chiellini Total $348K In Damages
:
Updated:
Two Customer Disputes Filed Against Wenjinn James Chang Worth $125K
:
Updated:
Broker John Cutshall Under Investigation By FINRA For Misappropriation
:
Updated:
FINRA Suspends Robert White For Accepting Cash Gifts From Customer
:
Updated:
Disgraced Broker Kyusun Kim Terminated By Sandlapper
:
Updated:
FINRA Bars Broker Mohamed Yassin
:
Updated:
FINRA Suspends Jeffrey Offen
:
Updated:
Justin Lopez Subject of Two Customer Disputes totaling over $5M
:
Updated:
FINRA Bars Broker Mitchell Kurtz For Violations Including Selling Away
:
Updated:
SEC Halts Trading On Petrotech Oil & Gas, Inc.
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Against Arete Wealth Management
:
Updated:
Did Your Stockbroker Sell You GPB Capital
:
Updated:
Broker Donna Hines Subject Of Four Disclosures
:
Updated:
FINRA Bars Phillip Johnson After Half-Million Dollar Customer Loans
:
Updated:
FINRA Bars LPL Broker Suhail Khan After $775K Dispute
:
Updated:
Charges Filed Against John Maccoll For $4M Ponzi Scheme On Elderly Investors
:
Updated:
Peter Malis Client Awarded $1.1M Settlement After Churning Allegations
:
Updated:
Broker Bryon Martinsen Accused Of Misrepresentation By Client
:
Updated:
Broker Michael Morrissett Subject Of $2M Client Dispute
:
Updated:
Michael Nixon and Paulson Investment Company LLC
:
Updated:
FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules
:
Updated:
In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Walter Valenzuela Subject Of Two Multimillion-Dollar Customer Disputes
:
Updated:
FINRA Suspends Registered Individuals in January 2019 for Failing to Comply with FINRA Rules
:
Updated:
Michael Venturino Customer Disputes Total $1.6M
:
Updated:
Robin Wahby
:
Updated:
Transamerica’s $97M Refund
:
Updated:
Scott Silver Discusses $102 Million Ponzi Scheme (with video)
:
Updated:
Sebastian Wyczawski Subject To Two Disclosures Totaling $350K
:
Updated:
Broker Roy Failla Subject of $1.5M Dispute
:
Updated:
FINRA Suspends, Fines Broker Ian Greenblatt For Selling Away
:
Updated:
Broker Stephen Williams Subject Of 7 Customer Disputes
:
Updated:
Sharing Customer Losses Leads To FINRA Suspension For Raymond Menna
:
Updated:
FINRA Suspends Broker Patrick Phillips After Allegedly Borrowing $70K From Client
:
Updated:
Florida Broker Mitchell Walk Subject Of Five Customer Disputes
:
Updated:
FINRA Suspends Broker Lloyd Johnston Over Information Request And Multiple Tax Liens
:
Updated:
FINRA Bars James Lyons After Unauthorized Trading Allegations And Employment Discharge
:
Updated:
FINRA Suspends Broker Bradley Pace
:
Updated:
More Customer Complaints Against Sean Brady, Claims Of $12.5M In Damages
:
Updated:
FINRA Bans Charles Bloom
:
Updated:
Client Accuses Broker Ralph Bianchi Of Recommending Unsuitable Puerto Rican Bonds
:
Updated:
FINRA Awards $1M To Client In Legend Securities Churning Arbitration Claim
:
Updated:
Broker Ralph Byer Of Merrill Lynch Has Seven Disclosures
:
Updated:
FINRA Bars Andrew Mandell After Section 5 Violation Allegation
:
Updated:
Ft. Lauderdale Elder Abuse Charges Against Roger Kroeger
:
Updated:
FINRA Bars Daniel Winger For Improper Use Of Customer Funds
:
Updated:
Broker Dexter Thomas Dies Leaving $9.2M In Customer Claims
:
Updated:
Christopher Sinkula Subject Of Customer Disputes Totaling $3.7M
:
Updated:
FINRA Suspends Broker Yousuf Saljooki
:
Updated:
American Finance Trust Tells Stockholders To Reject Latest McKenzie Offer
:
Updated:
Understanding Variable Annuity
:
Updated:
National Securities Corporation Stockbroker Ronald Rothchild
:
Updated:
FINRA Bars Broker Jackie Wadsworth
:
Updated:
FINRA Bars Wisconsin Broker Daniel Flores
:
Updated:
FINRA Bars Miami Broker Alex Herrera
:
Updated:
FINRA Bars Ft. Lauderdale Broker Shakela Carter
:
Updated:
Cory Bataan of Emoire Asset Management Company
:
Updated:
Nick Son of Aegis Capital Corp
:
Updated:
Anthony Sica of Joseph Gunnar
:
Updated:
George Mathis of Raymond James & Associates
:
Updated:
John Maloney III of Woodbury Financial Services Inc.
:
Updated:
Douglas Leone of Salomon Whitney LLC
:
Updated:
John Galinsky of First Dominion Capital Corp.
:
Updated:
David Krumrey of Oppenheimer & Co., Inc.
:
Updated:
Vicente Davila of Morgan Stanley
:
Updated:
Steven Pagartanis of Lombard Securities Incorporated
:
Updated:
Marc Korsch of Centaurus Financial, Inc.
:
Updated:
Broker John Cione Subject of $600K Customer Dispute
:
Updated:
Ex-broker, Robert Basile, Pleads Guilty to Stealing $130,000 from his Elderly Mother
:
Updated:
In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules
:
Updated:
FINRA Names Individuals Suspended in December 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Broker Jonathan Iraggi For Compliance Issue
:
Updated:
Atul Makharia Customer Disputes Allege Unsuitability
:
Updated:
Broker Ricky Mantei Subject To Allegations Of Unsuitability
:
Updated:
Silver Law Group Client Wins FINRA Arbitration Award Against Texas Oil Broker-Dealer Including $1,000,000.00 in Punitive Damages
:
Updated:
Kevin Wilson Subject of Two Disputes Totaling $2.4M
:
Updated:
FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual
:
Updated:
November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in November 2018 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules
:
Updated:
Three Customer Disputes Filed Against Robert Abramowitz
:
Updated:
Did OptionSellers.Com Trade your IRA on Margin
:
Updated:
Commodities Fraud Attorneys Pursue INTL FCStone for OptionSellers.Com Investors
:
Updated:
Silver Law Group and the Law Firm of David R. Chase Files a Second FINRA Arbitration Claim Against Independent Financial Group Concerning Selling Away Claims
:
Updated:
Silver Law Group Files Securities Arbitration Claim Against Voya Financial Advisors and IFS Securities Regarding James Flynn
:
Updated:
Kari Bracy
:
Updated:
OptionSellers.Com Suffers Losses After Natural Gas Declines
:
Updated:
Broker Dominick Diorio Charged With Unauthorized Trading
:
Updated:
Craig Bonn Subject Of Excessive Trading Allegations
:
Updated:
Silver Law Group is Investigating Former Broker James T. Flynn
:
Updated:
Robert Ginsberg, Woodbury Financial, Subject of Two Suitability Claims
:
Updated:
FINRA Suspends Francisco Faraco For Forging Signatures
:
Updated:
The SEC’s Temporary Suspension Of Marijuana Company, CannaBusiness Group, LLC Trading
:
Updated:
Cannabis/Marijuana Litigation – FusionPharm
:
Updated:
SEC Charges Texas-Based Greenview In Cannabis Stock Fraud
:
Updated:
SEC’s Temporary Suspension of GrowLife (PHOT) Stocks
:
Updated:
SEC Suspends Pot Stock Advanced Cannabis Solutions/General Cannabis
:
Updated:
Lawyers Identify Red Flags of Securities Fraud
:
Updated:
Best Attorneys for Ponzi Scheme Victims
:
Updated:
Centaurus Financial Customer Disputes
:
Updated:
Scott Silver Teaches Securities Arbitration at University of Miami Law School
:
Updated:
In October 2018, Registered Individuals Suspended by FINRA for Failing to Comply with FINRA Rules
:
Updated:
October 2018 Disciplinary Actions Name Individuals Barred from FINRA for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules
:
Updated:
Parking REIT Files For $100M IPO After Raising Substantial Funds From Retail Investors
:
Updated:
Silver Law Group Files Claim Against Portfolio Advisors Alliance Alleging Brokers Churned Account and Racked Up Over $500,000 in Commissions
:
Updated:
James Flynn, Former South Carolina-based IFS Securities and Voya Financial Advisors Broker, Under Investigation
:
Updated:
Silver Law Group Has Filed Another FINRA Arbitration Claim Against Wells Fargo After it Broker Recommended Unsuitable Investments to Elderly Client
:
Updated:
FINRA Bars Broker Kyusun Kim After Multiple Customer Complaints Of Unsuitability
:
Updated:
SEC Awards Two More Whistleblowers A Total of $54M
:
Updated:
CTFC Orders Restitution of $11.9M In Commodities Fraud
:
Updated:
SEC Charges Barry Honig In $27M South Florida Microcap Fraud
:
Updated:
SEC Charges Broker Jovannie Aquino
:
Updated:
SEC Charges Broker Emil Botvinnik With Excessive Trading, Churning
:
Updated:
Cybersecurity Breach Costs Voya Financial Advisors $1M In Fines
:
Updated:
Karl Foust Subject Of $1.1M In Customer Disputes With Wimbledon Health Partners Investments
:
Updated:
FINRA Bars Registered Individuals in September 2018 for Violations of FINRA Rules
:
Updated:
September 2018 FINRA Disciplinary Actions Name Individuals Suspended for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018
:
Updated:
Investment Center Broker Accused of Stealing $300K from Elderly Client
:
Updated:
FINRA Bars Broker Taek Chong After Allegations of $2M Commission Overpayment
:
Updated:
FINRA Bars Broker William Downing, Allegations of $1M Excess Trading
:
Updated:
FINRA Issues a Suspension for Network 1 Financial Services Wills Henriquez
:
Updated:
FINRA Hands Satya Brata Shaw Six-Month Suspension and $10K Fine
:
Updated:
H.J. Sims Broker Laurence Green Accused Of Churning, Unsuitability
:
Updated:
National Securities Corporation: Frequent Customer Disputes with FINRA
:
Updated:
Broker Hector May Investigated For Possible Ponzi Scheme And Defrauding Clients of $3.4M
:
Updated:
James Edward Knee
:
Updated:
Former Broker Thomas Logue Subject Of Multiple Disclosures
:
Updated:
Broker Dana Davis Subject Of Customer Disputes, Excessive Trading
:
Updated:
Broker Patrick Maddren
:
Updated:
Securities Arbitration Lawyer v. a Non-Attorney Representative?
:
Updated:
Scott Silver Quoted In Investment News Article On Woodbridge SEC Charges
:
Updated:
Silver Law Group Featured In Investment News On 1st Global Capital Bankruptcy
:
Updated:
Former Boston, Massachusetts-based Morgan Stanley Brokers Under Investigation for Allegedly Stealing Almost Half a Million from Elderly Client
:
Updated:
Silver Law Group and Law Firm of David R. Chase File Case Against Independent Financial Group for Selling Away
:
Updated:
FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading
:
Updated:
FINRA Bars Former Raymond James Broker Stephen Murray After Allegations, Tax Lien
:
Updated:
Laidlaw Broker Paul Prestia Barred By FINRA After $160K In Tax Liens
:
Updated:
FINRA Bars Broker Meaghan Johnson After Allegations in Eight Customer Complaints Totaling $1.3M in Damages
:
Updated:
Some of National Securities Corporation’s FINRA-Reported Brokers
:
Updated:
FINRA Bans Broker Ramon Herrera
:
Updated:
FINRA Suspends IFS Broker James Flynn
:
Updated:
Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims
:
Updated:
Bradley Tennison Discharged and Barred By FINRA After Selling Away Allegations
:
Updated:
Senior Citizens in Florida Reportedly Scammed into Investing in Fake Fish Farm
:
Updated:
FINRA Suspends Registered Individuals in August 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Names Registered Individuals Suspended in August 2018 for Violations of FINRA Rules
:
Updated:
In August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
UBS Financial Advisor Walter Stucker
:
Updated:
Former Broker Frank Zito Discharged From Merrill Lynch
:
Updated:
Client Alleges Broker Robert Yasnis Churned Accounts
:
Updated:
Christopher Kane Subject of $871K Customer Dispute
:
Updated:
Former Broker Shaun Hayes Accused Of Unauthorized Trading
:
Updated:
Brokers Who Sold American Finance Trust Under Investigation; AFIN Begins Public Trading 40% Less than What Investors Initially Purchased it for
:
Updated:
The SEC Has Proposed New Regulations for Fiduciaries
:
Updated:
Broker Michael B. Barnett Allegedly Invests Client Funds in Speculative Securities
:
Updated:
Broker Robert Cleary Subject to Negligence Allegations
:
Updated:
FINRA Suspends Registered Individuals in July 2018 for Failure to Comply with FINRA Rules
:
Updated:
In July 2018 FINRA Bars Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in July 2018 for Violations of FINRA Rules
:
Updated:
Multiple Complaints Against Former Broker Michael Fitz-Gerald
:
Updated:
Securities Arbitration Claims Against National Securities Corp.
:
Updated:
Former Broker Ernest Romer Barred By FINRA After Two Investigations
:
Updated:
FINRA Gives Broker Jeffrey Fanning Suspension, Fines
:
Updated:
FINRA Suspends Walter Parker For Unsuitable Investments
:
Updated:
Broker Michael Rosalia Subject Of Multiple Judgments, Tax Liens
:
Updated:
Broker Stephen Sullivan Subject of 8 Disclosures
:
Updated:
Jason McBride
:
Updated:
Broker Howard Utz The Subject Of Two Investigations
:
Updated:
Broker Ray Reese Subject Of Five Customer Dispute Disclosures
:
Updated:
FINRA Bars Broker Scott Palmer
:
Updated:
FINRA Bars Broker John Maccoll After Fraud Allegations
:
Updated:
FINRA Bars Gregory LeVine For Failure To Respond
:
Updated:
Colorado Investigates California-Based Peter Klaas For High Risk Trading, Seeking License Revocation
:
Updated:
Charles Kenahan
:
Updated:
FINRA Suspends Broker Brian Hussey Following Allegations Of Unsuitable Recommendations
:
Updated:
Investment Fraud Attorneys for American Finance Trust, Inc. (AFIN) Losses
:
Updated:
Securities Arbitration Lawyers Investigate American Finance REIT After it Drops 40%
:
Updated:
1st Global Capital Bankruptcy Affects Investors in Knoxville, TN
:
Updated:
Silver Law Group Files a FINRA Arbitration Claim Against Centaurus Financial Concerning Unsuitable Recommendations by a Broker
:
Updated:
Silver Law Group Wins $1.5 Million Securities Arbitration Award for Unsuitable Private Placement
:
Updated:
Oscar Francis
:
Updated:
FINRA Bars Broker Sean Brady For Possible Improper Sales Practices
:
Updated:
FINRA Bars Former Broker William Brunner After Customer Complaints
:
Updated:
SEC Charges Texas Pastor and Former Louisiana Broker with Money Laundering and Wire Fraud
:
Updated:
Silver Law Group Investigates Perry Santillo Jr. of High Point Wealth Management
:
Updated:
Criminal Charges And Additional Complaints Against Former Broker Matthew Eckstein
:
Updated:
Broker Cindy Chiellini Subject Of Three Customer Disputes
:
Updated:
Bank Of America Sued Over Ponzi Scheme
:
Updated:
Donald Fowler Charged With Excessive Trading And Churning
:
Updated:
Worden Capital’s Broker Gregory Dean Charged With Churning
:
Updated:
Morgan Stanley Advisor Barry Garapedian
:
Updated:
Merrill Lynch Broker Anteneh Roberts Banned By FINRA After Misconduct Allegations
:
Updated:
Stockbrokers Selling Away Securities Arbitration Claims
:
Updated:
SEC Charges Former Broker Steven Pagartanis For – Banned by FINRA
:
Updated:
Silver Law Group is Investigating Thomas Murray of FSC Securities Corporation
:
Updated:
Silver Law Group is Investigating John Bryant of Wells Fargo Clearing Services, LLC
:
Updated:
Silver Law Group is Investigating Samuel Haddix of Ameriprise Financial Services, Inc.
:
Updated:
Silver Law Group is Investigating David Olson of Morgan Stanley
:
Updated:
Silver Law Group is Investigating Sanders Spangler of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating Gary Basralian of Royal Alliance Associates, Inc.
:
Updated:
Silver Law Group is Investigating Lawrence Fawcett, Jr. of Westpark Capital, Inc.
:
Updated:
Silver Law Group is Investigating Joshua Ellis of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating David Barber of Madison Avenue Securities
:
Updated:
Florida Law Firm Silver Law Group is Investigating Thomas Meier of Morgan Stanley
:
Updated:
Rare Diamond Investment Fraud Attorneys – Rare Diamond Investment Fraud
:
Updated:
Suspect You (or a Loved One) are a Victim of Elder Financial Fraud?
:
Updated:
Silver Law Group Wins Securities Arbitration Award Against Former Naples, Florida-based Kovack Securities Broker Curtis D. Milakovich
:
Updated:
Akers Bioscience and Aegis
:
Updated:
Recro Pharma’s Investment Banker and Underwriter was Aegis Financial in Recro Pharma’s 2014 IPO
:
Updated:
Mitchell Yanow Barred by FINRA After Conversion of Customer Funds
:
Updated:
Silver Law Group Wins $1.5 Million Securities Arbitration Award for Unsuitable Private Placement
:
Updated:
Protecting Alzheimer’s Patients from Financial Fraud
:
Updated:
Daniel Glick Gets 12 Years in Jail for Elder Financial Fraud
:
Updated:
FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in June 2018 for Failing to Comply with FINRA Rules
:
Updated:
Texas, Louisiana Senior Investors Targeted in $3.8 M Ponzi Scheme Costing Them Their Life Savings
:
Updated:
Did National Securities Recommend Restoration Robotics?
:
Updated:
Silver Law Group is Investigating Carlos Evertsz-Seda of K.C. Ward Financial
:
Updated:
Silver Law Group is Investigating Craig Blattner of Cetera Advisors
:
Updated:
Silver Law Group is Investigating Peter Holler of Securities Service Network
:
Updated:
Silver Law Group is Investigating Richard Minichino of Next Financial Group
:
Updated:
Silver Law Group is Investigating Vicente Davila of Morgan Stanley
:
Updated:
Silver Law Group is Investigating Alan New of NYLife Securities LLC
:
Updated:
Silver Law Group is Investigating Frank Dietrich of Quest Capital Strategies, Inc.
:
Updated:
Silver Law Group is Investigating David Ridenour of Wells Fargo Clearing Services
:
Updated:
FINRA Bars Broker Christopher Hibbard After Separation from Merrill Lynch
:
Updated:
Broker Craig Blattner Suspended By FINRA
:
Updated:
State of Arkansas Bars Worden Capital’s Yousuf Saljooki For Five Years
:
Updated:
Former Broker Peter Orlando Accused Of Improperly Obtaining Control Of Client’s Affairs
:
Updated:
Insurance Agent James E. Hocker Charged In $1.27 Million Ponzi Scheme
:
Updated:
FINRA Bars Broker John Greg Schmidt After Misappropriation Allegations
:
Updated:
National Securities Corporation and Restoration Robotics, Inc. Subject of Class Action
:
Updated:
6 Tips that Can Help Prevent Elder Fraud
:
Updated:
FINRA Permanently Bars Kimberly Pine Kitts After Allegations
:
Updated:
Jeffrey Hawley and Wells Fargo
:
Updated:
Broker Adam Goodman Subject of FINRA Arbitration Claims
:
Updated:
Broker Lee Robert Donais Subject Of $200K Dispute
:
Updated:
Keith D’Agostino
:
Updated:
FINRA Examines Claim Against Aegis Broker James Mariani For Negligence
:
Updated:
Broker David Schmerber Subject of Customer Dispute
:
Updated:
Former Broker James Pettit Barred By FINRA
:
Updated:
FINRA Investigates Broker Matthew Eckstein For Fraud
:
Updated:
Silver Law Group is Representing Investors in the $102 Million First Nationle Solution, LLC Ponzi Scheme
:
Updated:
First Nationle Solution LLC, United RL Capital Services, and Percipience Global Corp. $102 Million Ponzi Scheme Attorneys
:
Updated:
Why are the Elderly More Susceptible to Financial Fraud?
:
Updated:
Century Securities Associates Broker Bernard McLaughlin Jr. Under Investigation After Declaring Bankruptcy
:
Updated:
Former Transamerica Financial Advisors Broker Robert Perta Under Investigation After Customer Files a $4.2 Million Complaint
:
Updated:
South Florida Raymond James Broker Victor T. Connor Under Investigation After Customer Brings $300,000 Complaint Alleging Unsuitability
:
Updated:
Former South Florida-based LPL Financial Broker Pedro O. Diaz Under Investigations After Termination from LPL Financial
:
Updated:
FINRA Bars Former LPL Financial Broker Sonya Camarco After SEC Brings Charges Alleging Misappropriation of $2.8 Million of Client Funds
:
Updated:
FINRA-barred New Jersey Broker Robert B. Delguercio Under Investigation Due to 15 Disclosures on his BrokerCheck Report
:
Updated:
Fort Lauderdale, Florida Westpark Capital Broker Patrick H. Maddren Under Investigation After Churning Complaint Settles for $300,000
:
Updated:
DeVere Investment Fraud Victims
:
Updated:
Pension Fund Fraud Recovery Attorneys
:
Updated:
Puerto Rico Bonds Sold by Former Morgan Stanley Broker Angel Aquino
:
Updated:
Even the Rich and Famous Can be Victims of Elder Financial Fraud
:
Updated:
SEC Charges Essex Capital Corporation and Securities Fraud Recidivist Ralph Iannelli in $80 Million Fraud
:
Updated:
NYSE Brings Action Against Edward Wedbush and Wedbush Securities
:
Updated:
Silver Law Group is Investigating Timary Delorme of Wedbush Morgan Securities
:
Updated:
Silver Law Group is Investigating Wedbush Securities, Inc.
:
Updated:
What is a Securities Pump and Dump Scheme?
:
Updated:
FINRA’s Failure to Supervise Rule
:
Updated:
Securities Regulatory Authorities Were Well Aware of Problems with Wedbush Securities
:
Updated:
5 Common Financial Scams Aimed at Seniors
:
Updated:
A New SEC Proposal Aims to Protect Investors
:
Updated:
Silver Law Group Reminds Shareholders with Investments Losses in Cancer Genetics, Inc. of Class Action Lawsuit and Upcoming Deadline – CGIX
:
Updated:
Individuals Barred by FINRA in May 2018 for Failing to Comply with FINRA Rules
:
Updated:
May 2018 Disciplinary Actions from FINRA Name Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in May 2018 for Violations of FINRA Rules
:
Updated:
Coastal Equities Broker Luke Johnson Under Investigation for Unsuitable Non-traded REIT Recommendations
:
Updated:
Royal Alliance Associates Arbitration Lawyer
:
Updated:
Broker Gary Basralian Barred, Arrested After Allegations Of Using Client’s Moneys For His Own Expenses
:
Updated:
FINRA Bars Stifel Nicolaus Broker John M. James After Refusing To Testify
:
Updated:
Centaurus Financial
:
Updated:
Silver Law Group is Investigating Lawrence Hagedorn of Ascend Financial Services, Inc.
:
Updated:
Silver Law Group is Investigating Larry Wolfe of Herbert J. Sims & Co., Inc.
:
Updated:
Silver Law Group is Investigating Marcus Parker of Wells Fargo Clearing Services, LLC
:
Updated:
Silver Law Group is Investigating Jeffrey Palish of Wells Fargo Clearing Services, LLC for Elder Financial Fraud
:
Updated:
Silver Law Group is Investigating Truitt Ficklin of Cetera Investment Services LLC
:
Updated:
Silver Law Group is Investigating Phillip Johnson of SunTrust Investment Services, Inc.
:
Updated:
Scott Silver Speaks at Class Action Mastery and Mass Tort Med School Conference
:
Updated:
Credit Unions Aim to Stop Elder Financial Fraud
:
Updated:
FINRA Bars Broker Kenneth Stewart Tyrell For Failure To Disclose Outside Business Dealings
:
Updated:
FINRA Suspends Ryan Michael Murnane
:
Updated:
FINRA Bars Broker Charles Henry Frieda After Multiple Allegations of Unsuitable Investments
:
Updated:
FINRA Bars Broker Charles Bernard Lynch, Jr. After 50+ Customer Disputes
:
Updated:
Silver Law Group is Investigating Joseph Alan Lavigne of Spencer Edwards, Inc.
:
Updated:
Silver Law Group is Investigating John Greg Schmidt of Stifel Nicolaus & Company, Inc. and Wells Fargo Advisors Financial Network LLC
:
Updated:
How to Report Elder Financial Fraud
:
Updated:
Silver Law Group is Investigating Sonya D. Camarco of LPL Financial LLC
:
Updated:
Silver Law Group is Investigating Cornelius Peterson of Morgan Stanley Smith Barney
:
Updated:
Managing Partner of the Silver Law Group is Interviewed by Television Station Regarding Unlicensed Brokers and Ponzi Schemes
:
Updated:
Silver Law Group is Investigating James S. Polese of Morgan Stanley Smith Barney
:
Updated:
Silver Law Group is Investigating Joseph Francis Valdini of Worden Capital Management LLC
:
Updated:
Silver Law Group is Investigating Joseph Daniel Krueger, II of Stifel, Nicolaus, & Company
:
Updated:
FINRA Suspends Broker Shane Jason Kelly
:
Updated:
MVP REIT/The Parking REIT Losses
:
Updated:
Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Disciplinary Actions for April 2018 Name Individuals Barred for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in April 2018 for Violations of FINRA Rules
:
Updated:
FINRA Bars Jimmy Oswald Moscoso Over Allegations Of Improper Use of Customer Funds
:
Updated:
Craig Joseph Mardany
:
Updated:
FINRA Suspends Gregory Alan LeVine For Failure To Respond
:
Updated:
Former Cuna Brokerage Services Broker Stacy Cheney-Jamison Under Investigation After Customer Files Investment Fraud Claim
:
Updated:
FINRA Permanently Bars Carlos Nester Evertsz-Seda After Second Suspension
:
Updated:
Broker Bradley Everett Gardner Accused Of Churning, Resigns After Accepting Customer Check In His Name
:
Updated:
FINRA Suspends Broker Lorene Fairbanks For Improper Financial Relationship With Client And Improper Communications With Client
:
Updated:
FINRA Suspends Broker Jeffrey Paul Dragon For Excessive UIT Trading
:
Updated:
Palm Beach Broker Gary Edward Adkin Subject of Negligence Claim
:
Updated:
Reporting Failures Cost Aegis Financial $1.3M In Fines
:
Updated:
FINRA Investigates Jason Eric Zwibel In $2.6m Customer Dispute
:
Updated:
Silver Law Group is Investigating Logan Burch Phillips, Jr. of Raymond James & Associates
:
Updated:
Silver Law Group is Investigating Scott William Palmer of Janney Montgomery Scott, LLC
:
Updated:
Silver Law Group is Investigating Edward Vincent Mirabella, Jr. of National Securities Corporation
:
Updated:
Silver Law Group is Investigating Richard Shotz of Wells Fargo
:
Updated:
Silver Law Group is Investigating Melvin Case of LPL Financial
:
Updated:
Silver Law Group is Investigating Kimberly Kitts of Royal Alliance Associates
:
Updated:
Silver Law Group is Investigating Kevin Graetz of Paulson Investment Company
:
Updated:
Silver Law Group is Investigating Minish Joe Hede of Paulson Investment Company
:
Updated:
Silver Law Group is Investigating Benjamin Aibel of Wunderlich Securities
:
Updated:
FINRA Bans Broker Michael Alan Siegel After Repeated Complaints and Investigations
:
Updated:
Discharged Morgan Stanley Broker Charles Albert Dixon Is Permanently Barred By FINRA
:
Updated:
What is the Parking REIT and What Brokerage Firms Sold the Non-traded REIT?
:
Updated:
The Parking REIT, f/k/a the MVP REIT and MVP REIT II, Under Investigation After It Suspends Dividend Payments
:
Updated:
Margin Calls: The Dangers of High Risk
:
Updated:
Colorado Investigates California-Based Peter Gerhard Klaas For High Risk Trading, Seeking License Revocation
:
Updated:
Elder Financial Fraud Alert: Scrutinize Brokers Using a Senior Designation in Their Titles
:
Updated:
Silver Law Group is Investigating Gary Adkin of Stifel, Nicolaus & Company
:
Updated:
SEC Investigation Of Morgan Stanley And Puerto Rico Bond Investments
:
Updated:
Registered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules
:
Updated:
In March 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in March 2018 for Violations of FINRA Rules
:
Updated:
FINRA Rule 4512 Has New Amendments
:
Updated:
FINRA Rule 2165 Allows Members to Put Holds on Client Accounts
:
Updated:
FINRA’s Recent Rules Aim to Further Protect Elderly Investors
:
Updated:
Silver Law Group is Investigating Christopher Bennett of Hilliard Lyons
:
Updated:
Silver Law Group is Investigating Patrick Maddren of Laidlaw & Company
:
Updated:
FINRA Names Individuals Barred in February 2018 for Violations of FINRA Rules
:
Updated:
FINRA Disciplinary Actions for February 2018 Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in February 2018 for Violations of FINRA Rules
:
Updated:
Silver Law Group is Investigating William Harrison of Stifel Nicolas & Company
:
Updated:
Silver Law Group is Investigating UBS Financial Services Broker James Dillon for Potential Unsuitable Recommendations Relating to Puerto Rico Municipal Bonds
:
Updated:
Wells Fargo Under Investigation for Abuse of Customer 401(k) Accounts
:
Updated:
Silver Law Group is Investigating Joseph Cotter of Petersen Investments
:
Updated:
Silver Law Group is Investigating Thomas Lawrence of Ameritas Investment Corp.
:
Updated:
Silver Law Group is Investigating Mark Perry of Royal Alliance Associates, Inc.
:
Updated:
Angel Aquino of Morgan Stanley Claims for Puerto Rico Bonds
:
Updated:
Christopher Robert Hickman, formerly of Cetera Advisors, LLC.
:
Updated:
LJM Preservation and Growth Fund (LJMIX) Securities Lawsuit Investigation
:
Updated:
Scott Silver Participates in the University of Miami School of Law Class Action Forum
:
Updated:
James Randall Clay is Under Investigation by FINRA
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Alleging Excessive use of Margin, High Commissions and Elder Financial Fraud on behalf of an Unsophisticated Retiree
:
Updated:
Silver Law Group Investigates Garden State Securities, Inc. Broker Jason Eric Zwibel for Potential Securities Violations
:
Updated:
Silver Law Group is Investigating Claims Against Former Legend Equities Corp. Broker Walter J. Marino for Alleged Unsuitable Recommendations and Charging Excessive Commissions in Customer Accounts
:
Updated:
Three Individuals Charged by the SEC for Defrauding Elderly Clients
:
Updated:
TD Ameritrade and Sheaff Brock Investment Advisors, LLC
:
Updated:
FINRA Suspends Registered Individuals in January 2018 for Violations of FINRA Rules
:
Updated:
January 2018 FINRA Disciplinary Actions Name Registered Individuals Suspended for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in January 2018 for Violations of FINRA Rules
:
Updated:
Silver Law Group Announces Filing of FINRA Arbitration Claim on Behalf of Customers of Stifel, Nicolaus & Company, Inc.
:
Updated:
Silver Law Group is Investigating Claims Against former Stifel, Nicolaus & Company, Inc. Broker Coleman J. Devlin for Unauthorized Trading in Customer Accounts
:
Updated:
SEC Accuses Daniel Vazquez of Running $2 Million Real Estate Investment Fraud
:
Updated:
Ernest Romer has been Barred from the Securities Industry
:
Updated:
December 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules
:
Updated:
In December 2017, FINRA Bars Registered Individuals for Failure for Comply with FINRA Rules
:
Updated:
FINRA Arbitration Claim Filed Against Joseph Weinrich and Moloney Securities Co.
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2017
:
Updated:
Silver Law Group Is Investgating Claims Of Unsuitable Recommendations, Spencer Laufer, J.H Darbie & CO
:
Updated:
Jason Anderson, LPL Financial Under Investigation For Claims of Unauthorized Trading
:
Updated:
Silver Law Group is Investigating Claims Against Florida-Based Raymond James Broker Ramesh Madhusudan for Unsuitable Investments and Negligent Supervision
:
Updated:
Former Oklahoma-based Broker Jay Jordan Under Investigation Following a Customer Compliant Alleging Unsuitable Investment Recommendations and Misrepresentation
:
Updated:
Silver Law Group is Investigating Claims Against Wells Fargo Broker Carlos Mejia for Unsuitable Trading Activity
:
Updated:
California-based Hilltop Securities Broker Justin Parker Under Investigation Following a Customer Compliant Alleging Unsuitable Investment Recommendations and Elder Abuse
:
Updated:
Silver Law Group is Investigating Claims Against Florida-Based Merrill Lynch Broker James Lowther for Unsuitable Investments And Misrepresentation
:
Updated:
Alabama-based Principal Securities Broker Bettye Hay Under Investigation For Unsuitable Investment Recommendations and Misrepresenting an Investment Opportunity
:
Updated:
Silver Law Group is Investigating Claims Against PWA Securities Broker John Schneider for Unsuitable Trading Activity and Unauthorized Trading
:
Updated:
Michigan-based IMS Securities Broker Beth Debouvre Under Investigation For Unsuitable Investment Recommendations and Breach of Fiduciary Duty
:
Updated:
Utah-based Ameriprise Broker Kim Isaacson Under Investigation For Fraudulent Misrepresentation & Unauthorized Trading
:
Updated:
Silver Law Group is Investigating Claims Against Broker Englebert Sarmiento for Unauthorized Investment Activity
:
Updated:
New York-based UBS Financial Services Broker Michael Keane Under Investigation For Unsuitable Investment Recommendations
:
Updated:
Silver Law Group is Investigating Claims Against Florida-Based LPL Financial Broker Melvin Case for Unsuitable Investments, Churning And Exploitation of an Aged Adult
:
Updated:
Silver Law Group is Investigating Claims Against Oppenheimer & Co Broker David Krumrey for Unsuitable Trading Activity
:
Updated:
Chicago-based National Securities Corporation Broker Rick Konecny Under Investigation For Overconcentration and Unsuitable Investment Recommendations
:
Updated:
Silver Law Group Investigates Ernest Julius Romer and CoreCap for Misrepresentation & Unsuitability
:
Updated:
Silver Law Group is Investigating Claims Against Morgan Stanley Broker Peter Doyle for Unsuitable Investments
:
Updated:
New York-based LPL Financial Broker Thomas Borruso Under Investigation For Unsuitable Investment Recommendations
:
Updated:
Silver Law Group is Investigating Claims Against RBC Capital Markets Broker Bruce Cameron for Unsuitable Investments in Oil and Gas Master Limited Partnerships (MLPs)
:
Updated:
Financial Advisor Roger Kroeger Arrested for Embezzlement
:
Updated:
Roger Kroeger, Invest Financial Corporation: Misappropriated customers funds
:
Updated:
Clint Stoffels, UBS Financial Services: Unsuitable Investments
:
Updated:
Ricardo F. Guimares, Wells Fargo: Unsuitable Investment Advice.
:
Updated:
Jeffrey S. Thompson, LPL Financial: Unauthorized Investment Activity
:
Updated:
Harold Lauber, Herbert J. Sims & Co :Unsuitable Investment Recommendations
:
Updated:
NYC Securities Arbitration Lawyer Scott Silver
:
Updated:
Felipe Arrieta, Dakota Securities International
:
Updated:
Christopher Sinkula, Montgomery Scott: Unsuitable Investment Recommendations
:
Updated:
How to Spot Binary Options Fraud
:
Updated:
What the SEC Says About Binary Option Fraud Victims
:
Updated:
Why Working with a Binary Options Fraud Attorney Is a Wise Decision
:
Updated:
Binary Options Fraud Victims
:
Updated:
How to Properly Understand Binary Options Losses
:
Updated:
What the CFTC Says About Binary Options
:
Updated:
Binary Options Fraud Attorneys
:
Updated:
Silver Law Group Investigates Barry Kornfeld and First Financial Tax Group for the Sale of Woodbridge Products to Retirees
:
Updated:
Woodbridge Group of Companies’, aka Woodbridge Wealth, Declares Bankruptcy
:
Updated:
Woodbridge Wealth Securities Attorney
:
Updated:
Woodbridge Wealth and Woodbridge Group Victims
:
Updated:
Woodbridge Wealth and Woodbridge Group Losses
:
Updated:
Woodbridge Wealth Investment Fraud Lawyers
:
Updated:
Woodbridge Wealth’s Potential Fraud
:
Updated:
What the SEC Says About Woodbridge Wealth
:
Updated:
Woodbridge Wealth and Woodbridge Group of Companies SEC Investigation
:
Updated:
FINRA Suspends Registered Individuals in November 2017 for Violations of FINRA Rules
:
Updated:
Registered Individuals Suspended by FINRA in November 2017 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals for Filing to Comply with FINRA Rules in November 2017
:
Updated:
Registered Individuals Barred by FINRA in October 2017 for Violations of FINRA Rules
:
Updated:
In October 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in October 2017 for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in September 2017 for Violations of FINRA Rules
:
Updated:
September 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failure to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in September 2017 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in August 2017 for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in August 2017 for Failing to Comply with FINRA Rules
:
Updated:
In August 2017, FINRA Barred Registered Individuals for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in July 2017
:
Updated:
Registered Individuals Suspended in July 2017 by FINRA for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in July 2017 for Failure to Comply with FINRA Rules
:
Updated:
The Woodbridge Group of Companies is Under Investigation by the SEC
:
Updated:
Woodbridge Wealth is Not Registered with the SEC or FINRA
:
Updated:
Woodbridge Group of Companies Principal Robert Shapiro Takes the 5th Amendment
:
Updated:
Woodbridge Group of Companies Under SEC Investigation
:
Updated:
FINRA Reports Brokers Nas Adel Allan and Gregory Anastos Made Unsuitable Recommendations
:
Updated:
Woodbridge Group of Companies’s CEO and President Robert Shapiro Pleads the Fifth in SEC Investigation Over $1 Billion Fraud
:
Updated:
LP Customer Compliants
:
Updated:
Shreveport, LA-based Raymond James & Associates Discharges Broker James Edward Lyons
:
Updated:
James Vincent Marino : Elder Financial Fraud Alert
:
Updated:
SEC Files Complaint Against Matthew C. Griffin and William D. Griffin Over Alleged Misrepresentations Concerning Payson Petroleum Offerings
:
Updated:
Payson Petroleum, based in Bartonville Texas, and its Private Offerings Under Investigation After Payson Companies Declare Bankruptcy
:
Updated:
James E. Lyons, Raymond James
:
Updated:
Michael P. Mctigue, Newbridge Securities
:
Updated:
Richard S. Botkin, Morgan Stanley
:
Updated:
The Elder Abuse Prevention and Prosecution Act
:
Updated:
FINRA Suspends Christopher Anthony Fernan
:
Updated:
LPL Financial, LLC (Linsco Private Ledger)
:
Updated:
Jack F. Bruscianelli, National Securities Corp.
:
Updated:
Thomas Joseph Borruso’s Career in the Securities Industry is Over
:
Updated:
Bao Quoc Vu, TD Ameritrade
:
Updated:
Boca Raton-Based Broker Larry Charles Wolfe Fined and Suspended by FINRA
:
Updated:
Wells Fargo Clearing Services Broker James R. Schaedler, Jr. Discharged by Firm, Barred by FINRA
:
Updated:
William J. Paynter, Wells Fargo
:
Updated:
Mark J Flanagan, Citigroup Global Markets
:
Updated:
Ross A Stein, Wells Fargo
:
Updated:
Lorenzo C. Esteva, UBS Financial Services
:
Updated:
Mack L Miller, Dawson James Securities
:
Updated:
Jeffrey L. Mischel, Wells Fargo
:
Updated:
Mark F. Augusta, Hilltop Securities
:
Updated:
Robert H Keller, Morgan Stanley
:
Updated:
Wells Fargo, Donald A. Devito
:
Updated:
AEGIS Corporation, Paul A. Falcon
:
Updated:
Oppenheimer & Co, Daniel H. Morris
:
Updated:
AEGIS Capital Corp, Shadi T. Barakat
:
Updated:
Demitrios Hallas Investigated by SEC and FINRA for Anti-Fraud Violations
:
Updated:
Reuters Releases List of Top 48 Brokerage Firms with Highest Percentage of Brokers with Most Serious FINRA Disclosures
:
Updated:
Christopher Robert Hickman is Sanctioned by FINRA after Alleged Elder Financial Fraud
:
Updated:
North Florida-based D.H. Hill Broker Charles Stevens and St. Johns Financial Planning Under Investigation
:
Updated:
Kingwood, Texas-based Broker D.H. Hill Under Investigation Over Regulatory Actions Concerning REITs
:
Updated:
Greensboro, North Carolina-based Ameritas Investment Corp. Broker Alonza Barnett Under Investigation After FINRA Bar
:
Updated:
Former South Florida-based Raymond James Broker Leon P. Rehak Under Investigation
:
Updated:
Former New York-based Joseph Stone Capital Broker Under Investigation After Montana Sanctions Over Excessive and Unauthorized Trading
:
Updated:
Binary Options- CFTC’s RED List
:
Updated:
Binary Options- CFTC Fraud Advisory
:
Updated:
Binary Options- SEC Investor Alert
:
Updated:
RBC Capital Broker Samuel Koltun has been Involved in Several Customer Disputes
:
Updated:
Shawn E. Burns, Salomon Financial
:
Updated:
Scott Silver Featured in Investment News Regarding Stockbrokers’ Fiduciary Duty
:
Updated:
Former Cetera Advisors Broker Abraham Heimann Faces Several Complaints
:
Updated:
Former Edward Jones Broker Steven Olejniczak Discharged, Suspended, and Fined
:
Updated:
Cetera Advisor Networks, LLC
:
Updated:
An Investigation into David Wesley Wells Results in a Permanent Bar from the Securities Industry
:
Updated:
V. Cullen Kempson III Fined and Suspended by FINRA
:
Updated:
Silver Law Group announces FINRA Arbitration filing against former Morgan Stanley Broker Angel E. Aquino-Velez
:
Updated:
Darnell Anthony Deans Receives a Permanent Bar from FINRA
:
Updated:
Timothy David Ballard First Suspended and Now Permanently Barred by FINRA
:
Updated:
SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors
:
Updated:
Elder Financial Fraud Has an Impact on the Financial Well-Being of Caregivers
:
Updated:
Broker Leon Vaccarelli Has Been Charged with Fraud by the SEC
:
Updated:
Protecting an Elderly Parent from Financial Abuse from another family member.
:
Updated:
Silver Law Group is investigating former Melbourne, FL-Morgan Stanley broker Anthony J. Verzi
:
Updated:
Silver Law Group is analyzing claims of unauthorized trading and unsuitable investments by former Delray Beach, Florida based Cetera Advisors LLC broker Christopher R. Hickman
:
Updated:
Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers’ accounts and made unsuitable recommendations.
:
Updated:
Silver Law Group is investigating former Texas-based IMS Securities, INC broker Jackie D Wadsworth for five pending FINRA arbitrations and a litany of disclosures on her FINRA BrokerCheck report
:
Updated:
What’s Being Done to Stop Elder Financial Abuse?
:
Updated:
State Attorneys General Working to Stop Elder Fraud
:
Updated:
FINRA Permanently Bars Former Janney Montgomery Scott, LLC Broker David Aaron Seigerman
:
Updated:
Former Alexander Capital, L.P. Broker Peyton Nelson Jackson is No Longer Registered in the Securities Industry
:
Updated:
Former Colorado LPL Broker Sonya Camarco Charged with Stealing Client Funds
:
Updated:
New Jersey Broker Richard Grant Cody May Be Facing Serious Penalties
:
Updated:
FINRA Hands Down Fine and Suspension to John Patrick Wheeler
:
Updated:
Elder Fraud Allegations End 16-year Career of James Robert Schaedler, Jr.
:
Updated:
Federal Employee Benefit Counselors Targeted Federal Government Employee Retirement Plan Participants With Variable Annuities Scheme.
:
Updated:
Complaint Filed against Morgan Stanley based on Puerto Rico Municipal Bonds
:
Updated:
Ethical Financial Advisors Can Help Clients Avoid or Spot Fraud, Says the North American Securities Administrators Association (NASAA)
:
Updated:
FINRA Suspends Registered Individuals in June 2017 for Violations of FINRA Rules
:
Updated:
In June 2017, FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in June 2017 for Failing to Comply with FINRA Rules
:
Updated:
Find out exactly why the broker received a lifetime ban from FINRA
:
Updated:
Be on the Lookout: 3 Common Signs of an Investment Scam
:
Updated:
New FINRA Guidelines Aim to Protect Seniors from Elder Financial Fraud
:
Updated:
Former Wells Fargo Broker Matthew Maczko Faces Additional Fraud Allegations
:
Updated:
FINRA Investigation Results in Career-Ending Decision for Broker Christopher Ariola
:
Updated:
FINRA Suspends Registered Individuals in May 2017 for Violations of FINRA Rules
:
Updated:
In May 2017 FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in May 2017 for Failing to Comply with FINRA Rules
:
Updated:
Reuters Analyzes FINRA BrokerCheck Data to Compile List of High-risk Brokerage Firms After FINRA Fails to Disclose Said Information
:
Updated:
Santander Securities, LLC Broker Joan Marie Larsen Is Permanently Barred by FINRA
:
Updated:
Raul Enrique Jacobs’ Short Brokerage Career is Over
:
Updated:
Woodstock Financial Group, Inc. Broker William Bruckner Fined and Suspended by FINRA
:
Updated:
Jeffrey Marc Grayson Suspended After Allegations of Discretionary Trading
:
Updated:
Former Ameriprise Broker William B. Wyman Under Investigation Over Allegations of Selling Unapproved Investments
:
Updated:
FINRA Fines Cetera Almost $2 Million for Mutual Fund Sales Charge Violations
:
Updated:
Former Metlife Broker Brian P. Murphy Under Investigation Over Outside Business Allegations
:
Updated:
West Palm Beach, Florida Broker William T. Eaton Under Investigation After FINRA Suspends Him
:
Updated:
Former New York-based Morgan Stanley Broker Under Investigation After Being Permanently Barred by FINRA
:
Updated:
Former Edward Jones Broker Under Investigation for SEC Charges Alleging Theft of $1.2 Million to Remodel Home
:
Updated:
New York City-based Broker Permanently Barred by FINRA; Allegation of VGTel Sale
:
Updated:
New York City Broker Melanie S. Sweet Under Investigation After FINRA Suspension
:
Updated:
Jupiter, Florida-based Wells Fargo Broker Roberto O. Bastardo Permanently Barred by FINRA
:
Updated:
Former Arvest Broker Joe D. Treece Under Investigation for Allegedly Borrowing Money from a Client
:
Updated:
Former California and Texas Broker Willard L. Golightly Under Investigation For Multiple Alleged Securities Violations
:
Updated:
Ryan E. Cox, Formerly of SunTrust Investment Services, Under Investigation For Allegedly Receiving Cash Gifts
:
Updated:
SEC Halts South Florida-based $4.8 Million Boiler Room Scheme Involving State Lottery Tickets
:
Updated:
SEC Halts Chicago-based Fraud Targeting Seniors Involving Daniel H. Glick, Formerly of Transamerica Financial Advisors
:
Updated:
FINRA and SEC Adopt New Rule to Help Curb Elder Financial Fraud
:
Updated:
FINRA Adopts Amendment to Rule That Would Provide Trusted Contact for Seniors with Diminished Capacities
:
Updated:
Robert N. Tricarico, Formerly of LPL Financial, Under Investigation After He Pled Guilty Misappropriating $1.2 Million from an Elderly Client
:
Updated:
Christopher P. Anthony, Formerly of Rhodes Securities, Under Investigation for a $2 Million Customer Dispute
:
Updated:
Former Puerto Rico-based Popular Securities Broker Manuel Angel Mejia-Gomez Under Investigation
:
Updated:
New York-based Beech Hill Securities Broker Frank Hamrak Under Investigation Over Unsuitability Allegations
:
Updated:
Edward Jones Broker Austin Wayne Morton Accused of Elder Fraud Involving 82-Year Old Client Diagnosed with Dementia
:
Updated:
Barry Franklin Connell Has Been Barred by FINRA and Charged by the SEC for Allegedly Stealing $5M from Elderly Clients
:
Updated:
Elder Financial Fraud News Round-Up
:
Updated:
SEC Takes Action to Reduce Instances of Senior Fraud
:
Updated:
How to Spot Elder Financial Fraud (and How Ethical Financial Advisors Should Act to Stop It)
:
Updated:
Elder Financial and Investment Fraud Continues to Grow at an Alarming Rate
:
Updated:
FINRA Bars Former Kovack Broker For Allegedly Naming Himself as Inheritor of 91-year-old Customer’s Condo
:
Updated:
Silver Law Group Investigates Former Illinois Morgan Stanley Broker Terminated for Outside Business Activities
:
Updated:
Former Tennessee Woodbury Broker Under Investigation Over Allegations of Outside Business Activities
:
Updated:
Silver Law Group Investigates FINRA-barred Florida Broker Who Allegedly Sold Away Customers
:
Updated:
Misconduct-Riddled Former Ohio-based Broker Under Investigation Amidst Pending FINRA Arbitrations
:
Updated:
Former Connecticut Broker Warren M. Rockmacher Under Investigation for Unsuitable Recommendations at Investacorp
:
Updated:
Silver Law Group Investigates Aventura, Florida-based Michael R. Smith After UBS Termination
:
Updated:
Silver Law Group Investigates Former Law Vegas Broker Over Recent Cocaine-related Criminal Charges
:
Updated:
Former Pennsylvania-based Raymond James Broker Under Investigation for Allegations of Accepting Undisclosed Loans From Customers
:
Updated:
Former Coral Gables, Florida-based UBS Broker Under Investigation for Allegations of Unauthorized Trading
:
Updated:
What is the Senior Safe Act?
:
Updated:
6 Resources That Will Help You Understand, Prevent, and Address Elder Financial Fraud
:
Updated:
FINRA plays an important role in our financial system. Learn how.
:
Updated:
The SEC Guide to Protecting Seniors Against Investment Fraud
:
Updated:
Good News About Elder Financial Fraud?
:
Updated:
Older Americans Face Exploitation and Financial Abuse in Record Numbers
:
Updated:
New York Study Exposes the Hard Truth About the Cost of Elder Financial Fraud
:
Updated:
FINRA Suspends Registered Individuals in April 2017 for Violations of FINRA Rules
:
Updated:
April 2017 FINRA Disciplinary Actions Suspend Registered Individuals for Failing to Comply with FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in April 2017 for Failure to Follow FINRA Rules
:
Updated:
Contingency Fee Attorneys
:
Updated:
FINRA Suspends Broker John Valliades After Allegations of Purchasing Investments Without Sufficient Authorization
:
Updated:
Home Visits: We Can Come to You
:
Updated:
Texas-based Broker Patrick Perales Permanently Barred by FINRA
:
Updated:
Are Brokers Allowed to Borrow from Customers?
:
Updated:
Barry F. Connell, Formerly of Morgan Stanley, Under Investigation Over Allegations that he Stole From Clients
:
Updated:
Former Morgan Stanley Broker Hilary J. Zimmerman Under Investigation Over Unauthorized Trading Allegations
:
Updated:
Brett S. Murphy, Boca Raton, Florida-based Revere Securities Broker Under Investigation Over Allegations of Churning in Unit Investment Trusts
:
Updated:
Jed E. Tinder, Former Montana-based Western International Securities Broker Under Investigation
:
Updated:
Marcos Yanez, former LPL Financial Broker Under Investigation Over Variable Annuities Misrepresentation Allegations
:
Updated:
California Broker Kelly Althar Receives Permanent Ban from FINRA after Elder Fraud Case
:
Updated:
Elder Financial News Roundup: Daniel H. Glick and Investment Professionals Inc.
:
Updated:
How FINRA is Addressing Elder Financial Fraud
:
Updated:
What Constitutes Elder Financial Fraud?
:
Updated:
Bank-Based Brokerage Firm Fined $100,000 for Selling Senior Citizens Unsuitable Securities
:
Updated:
Silver Law Group Files Securities Arbitration Claim Relating to California-based Cetera/Investors Capital Corp Broker Daniel B. Vazquez
:
Updated:
Elder Financial Abuse: Power of Attorney Scams
:
Updated:
Former LPL Financial LLC Broker Larry Allen Stapp is Suspended and Fined by FINRA
:
Updated:
Elder Financial Fraud is on the Rise Nationwide, Says a New York State Study
:
Updated:
Illinois Broker Brian Sak Receives Permanent Bar from FINRA
:
Updated:
Florida-based Ameriprise Broker Brian T. Perry Under Investigation
:
Updated:
Colorado Cetera Advisors Broker Ken A. Balser Permanently Barred by FINRA
:
Updated:
Jeffrey L. Offen, Employed by 17 Different Firms, Suspended by FINRA
:
Updated:
Sherman L. Greer, Formerly North Carolina LPL Financial Branch, Under Investigation
:
Updated:
FINRA’s Securities Helpline for Seniors
:
Updated:
FINRA Bars Anthony Mastroianni for Failing to Appear for Elder Fraud Testimony
:
Updated:
Illinois Broker Raul Jacobs’ Brief Career is Over
:
Updated:
Scott Goldman Receives Fine and Suspension from FINRA
:
Updated:
New York City Broker Francesco Scarso Fined, Suspended, and Ultimately Barred by FINRA
:
Updated:
Larry C. Wolfe, formerly of Boca Raton, Florida HJ Sims, Under Investigation Over Unauthorized Trading
:
Updated:
Registered Individuals Barred by FINRA in March 2017 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in March 2017 for Failing to Comply with FINRA Rules
:
Updated:
In March 2017, FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Christopher J. Calandrino, Worked For 8 Firms in Last 5 Years, Permanently Barred by FINRA
:
Updated:
Former Concorde Investment Brokers Richard and Jill Cody Under Investigation for SEC Allegations and FINRA Bar
:
Updated:
John S. Elliot, Former Kansas Ameriprise Financial Broker, Under Investigation Over Selling Away Allegations
:
Updated:
After FINRA’s Ruling, Joel Weiner has been Permanently Barred from the Securities Industry
:
Updated:
Nicholas Schorsch and Associates Sued; Alleged to Have Looted RCS Capital and Public Investors
:
Updated:
Former Houston, Texas-based Park Avenue Securities Broker Beth Ty Under Investigation Over Selling Away
:
Updated:
IMS Securities Broker Michael J. Spears Under Investigation Over Non-traded REIT Unsuitability Allegations
:
Updated:
How the SEC is Protecting Elderly Investors from Financial Exploitation
:
Updated:
Churning and the Elderly: How Excessive Trading Impacts Senior Investors
:
Updated:
How the SEC Plans to Tackle Fraud and Protect Retail Investors from Unnecessary Risk
:
Updated:
FINRA Fines and Suspends Waterford, Connecticut Broker William Stephen Smith
:
Updated:
FINRA Suspends and Fines Broker Jeffrey Jacobson
:
Updated:
Former NYLife Securities LLC Broker Amr Aboulmagd Is Permanently Barred from Acting as a Broker
:
Updated:
Summit Equities Broker Rembert McNeer is Given a 1-Year Suspension from FINRA
:
Updated:
Catalyst Hedged Futures Strategy Fund (HFXIX) Under Investigation Over Recent Drop in Value and Misclassification
:
Updated:
Douglas Wayne Studer : Elder Financial Fraud Alert
:
Updated:
FINRA Tips for Spotting and Preventing Elder Financial Abuse
:
Updated:
Meyers Associates Changes Name to Windsor Street Capital
:
Updated:
Cetera Brokerage Firm Investors Capital Corp Fined $1.1 Million Over Sales of Unit Investment Trusts
:
Updated:
Las Vegas Broker Frank R. Underhill Under Jr Investigation After FINRA Permanently Bars Him
:
Updated:
Former Milestone Investments Broker Michael W. Miles Under Investigation After FINRA Suspension
:
Updated:
Former LPL Financial Broker Michael Babyak Jr Under Investigation After FINRA Permanent Bar
:
Updated:
Former Las Vegas Wells Fargo Broker Donald S. Toomer Allegedly Received Kickbacks for Selling Microcap Stocks
:
Updated:
Former Broker Christopher Paul is Banned from Selling Securities
:
Updated:
Matthew Christopher Maczko Permanently Barred from Practicing as a Broker
:
Updated:
New York Broker Christopher Vincent Paul Permanently Barred by FINRA
:
Updated:
New York Broker Stanley Niekras Under Investigation for Elder Fraud
:
Updated:
Broker Jeffrey Alan Hill Gets 15-Month Suspension for Allegedly Bilking Elderly Customers
:
Updated:
Former Broker Matthew Maczko has been Barred Permanently by FINRA
:
Updated:
FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations and More
:
Updated:
Oppenheimer & Co. and Other Firms Cited for Discovery Violations in FINRA Arbitration
:
Updated:
Former Broker Winston Turner’s Career is Over Barely after it Begun
:
Updated:
FINRA Hands Down Fines and a Suspension to Broker Ciro Cavazos
:
Updated:
34-Year Career of Wisconsin-based Broker James Paul Kolf Comes to an Abrupt End
:
Updated:
Did You or Your Loved One Let NYLIFE Broker Cynthia Bolker Borrow Money or Manage Investments?
:
Updated:
Permanently Barred Nebraska Broker Matthew L. Geiser Under Investigation
:
Updated:
Missouri Files Complaint Alleging Theft from Elderly Customer by U.S. Bancorp Broker Broker Shannon K. Daniels
:
Updated:
SEC Charges Windsor Street Capital/Meyers Associates for Alleged Conduct in Pump-and-Dump Scheme
:
Updated:
Former Cetera-related Broker Clay E. Hoffman Has 19 BrokerCheck Disclosures; FINRA Actions
:
Updated:
Broker Matthew DiGregorio Who Has Worked at 18 Different Firms Under Investigation After FINRA Bar
:
Updated:
William Upchurch Jr., Former Maryland PFS Investments Broker Under Investigation
:
Updated:
Transamerica Financial Advisors Broker Harry C. Bennett Barred in Connection Unsuitability Investigation
:
Updated:
Jason Galanis Pleads Guilty in $63 Million Tribal Bond Scheme
:
Updated:
Former LPL Financial Broker Mark Tauzin Suspended and Fined by FINRA
:
Updated:
Clouded by Allegations, FELTL & Company Broker Lance Ziesemer is Permanently Barred by FINRA
:
Updated:
Rhonda Janeen Matthews Is No Longer Permitted to Act as a Broker
:
Updated:
Michael Inderlied Refuses to Testify for FINRA, is Barred Permanently
:
Updated:
New Jersey Broker Lucas Lichtman Fined and Suspended by FINRA
:
Updated:
Tampa Broker Christopher Goslin Hit with a Fine and Suspension from FINRA
:
Updated:
FINRA Fines and Suspends Robert Estevez
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in February 2017
:
Updated:
Registered Individuals Suspended by FINRA in February 2017 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Bars Registered Individuals for Failure to Comply with FINRA Rules in February 2017
:
Updated:
Arizona LPL Financial Broker Dominic T. DeBruin Under Investigation After FINRA Bar
:
Updated:
Failure to Comply with FINRA Request Terminates Broker Lance Shaw’s Securities Industry Career – Follow Up
:
Updated:
Have You Invested Your Hard-Earned Money with Broker Scott Erik Aabel?
:
Updated:
Broker Paul McLellan Alexander, Jr. Fined, Suspended, and Fired
:
Updated:
FINRA Permanently Bars Jay Jules Gruenebaum
:
Updated:
Dawson James Securities Broker Steven Colacurcio Suspended and Fined by FINRA
:
Updated:
Ameritas Investment Broker Nathan Silva Permanently Barred by FINRA
:
Updated:
Broker Michael Siegel Suspended and then Permanently Barred by FINRA – Investigation Update
:
Updated:
Irvine, CA Broker Daniel Vasquez has been Permanently Banned by FINRA
:
Updated:
National Securities Corporation Broker Leigh M. Garber Suspended by FINRA
:
Updated:
Former New York Ridgeway & Conger Broker Kenley Brisard Under Investigation
:
Updated:
Former Revere Securities Broker Noel Fleming Under Investigation After FINRA Bars Him
:
Updated:
Former LPL Financial Broker Paul E. Dorion Under Investigation After FINRA Bars Him
:
Updated:
Former New York Ridgeway & Conger Broker Philip Brisard Under Investigation
:
Updated:
Former Las Vegas Ameriprise Broker Cheryl L. Wallace Discharged for Alleged Unauthorized Trading
:
Updated:
Miami-based Broker Fernando de la Lama Merino Under Investigation
:
Updated:
California Kestra Broker Tom Puentes Under Investigation Over Alleged Unauthorized and Unsuitable Transactions in Puerto Rican Bonds
:
Updated:
Prospera Broker John N. Crook Under Investigation After $4.8 Million Complaint Filed
:
Updated:
Minnesota TradingBlock Broker Joshua D. Arnold Under Investigation
:
Updated:
FINRA Suspends Registered Individuals In January 2017 for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in January 2017 for Failing to Comply with FINRA Rules
:
Updated:
Registered Individuals Barred by FINRA in January 2017 for Failing to Comply with FINRA Rules
:
Updated:
Former Missouri LPL Financial Broker Joseph Likens Under Investigation for Pending Selling Away Complaint
:
Updated:
Former New York Woodstock Financial Group Broker Glenn McDowell Under Investigation
:
Updated:
Did You Entrust Georgia Broker Perry De Leeuw With Your Investments or Invest in WaterBos
:
Updated:
Former Financial Telesis Broker Christopher Ariola Under Scrutiny by FINRA
:
Updated:
Broker Lance Slater Has Been Permanently Barred by FINRA
:
Updated:
Georgia Broker Clay Hoffman’s Registration Has Been Revoked – Investigation Update
:
Updated:
UDF IV Delisted from NASDAQ; Issues Distribution Despite Delisting
:
Updated:
Cetera Investment Services, LLC Sanctioned by FINRA for Failure to Notify of Material Changes to Accounts
:
Updated:
Cetera Subsidiary VSR Financial Services Closing; Transferring Brokers to Other Firms in Cetera Network
:
Updated:
Cetera Subsidiaries Ordered to Pay More Than $6 Million for Variable Annuities Violations
:
Updated:
Former VSR Financial Broker John H. Towers Under Investigation for 46 BrokerCheck Disclosures
:
Updated:
Summit Brokerage Services Broker Keith A. Bradley Under Investigation for Unsuitable Recommendations and Negligence Allegations
:
Updated:
L-Share Violations has 5 Cetera Financial Group Firms Paying Almost $3 Million in Fines
:
Updated:
K.C. Ward Financial Broker Craig David Dima Under Investigation by FINRA
:
Updated:
President and CEO Leigh Garber Suspended by FINRA
:
Updated:
New Jersey Broker David Seigerman is Permanently Barred by FINRA
:
Updated:
Boston Investment Partners Broker Richard Cody Charged with Defrauding Retirees
:
Updated:
Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations
:
Updated:
FINRA Arbitration Awards Risk Going Unpaid in the Face of Closing Brokerage Firms
:
Updated:
FINRA Suspends Petersen Investments Broker for Failing to Disclose Settlement With Client
:
Updated:
BB&T Broker Under Investigation After FINRA Suspension for Misrepresenting Compensation Received for Serving as Trustee of Customer’s Trust
:
Updated:
Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations
:
Updated:
Peter Kohli, DMS Advisors and Marshad Capital Group Under Investigation for Allegations of $3.2 Million Fraud
:
Updated:
Former California Cetera Advisors Broker Under Investigation for Unauthorized Trading Allegations and FINRA Permanent Bar
:
Updated:
Former Minnesota Broker Under Investigation for Numerous Allegations of Unauthorized and Unsuitable Trading in Unit Investment Trusts
:
Updated:
Allegations of Unsuitable Recommendations in Smashburger by Former Texas-based Next Financial Group Broker Investigation
:
Updated:
Former Ohio-based Stifel Nicolaus Broker Under Investigation After Arrest for Allegedly Stealing Money from a Client
:
Updated:
Former Morgan Stanley Broker Under Investigation After FINRA Bars Him for Failing to Comply With a Settlement Agreement
:
Updated:
Former New York LPL Financial Broker Under Investigation After FINRA Suspension
:
Updated:
Independent Financial Group Broker Russell Leo Sadler Under Investigation After FINRA Suspends Him for a Year
:
Updated:
Former Pennsylvania LPL Financial Broker Under Investigation After FINRA Permanent Bar from the Industry
:
Updated:
FINRA has Permanently Barred LPL Financial Broker Paul Dorion
:
Updated:
Former New York-based Meyers Associates Broker Under Investigation After FINRA Bar From the Industry
:
Updated:
FINRA Permanently Bars Boca Raton Broker James Ignatowich
:
Updated:
Broker Dawn Bennett Has Suspension Lifted by FINRA
:
Updated:
Michael Siegel Suspended and then Permanently Barred by FINRA
:
Updated:
Former Raymond James Broker Subject to $4.8 Million Customer Complaint Following Termination
:
Updated:
Former Florida-based Center Street Securities Broker Satya Shaw Under Investigation After Florida Opens an Investigation
:
Updated:
Boston Broker Noel Fleming is Permanently Barred by FINRA
:
Updated:
Did You Lose Money by Investing with Financial Advisor Rushton Leigh Ardrey?
:
Updated:
FINRA Bars Registered Individuals in December 2016 for Violations of FINRA Rules
:
Updated:
Registered Individuals Suspended by FINRA in December 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in December 2016 for Violations of FINRA Rules
:
Updated:
Emotions Increase Elder Fraud Vulnerability, According to Stanford Research
:
Updated:
Silver Law Group Launches Investigation into Burnham Securities and Related Entities for Ties to Tribal Bonds Scheme
:
Updated:
FINRA Fines Credit Sussie Securities $16.5 Million for Anti-Money Laundering Program Deficiencies
:
Updated:
FINRA Sanctions Merrill Lynch $7 Million for Inadequate Supervision of Securities-Backed Leverage in Customers and Suitability Issues for Puerto Rican Bonds
:
Updated:
FINRA Sanctions Oppenheimer for Reporting Violations, Failing to Comply with Discovery Obligations in Arbitrations, and Other Supervisory Failures
:
Updated:
Broker Joseph Butler Barred and Fined by FINRA for Allegedly Defying Elder Financial Abuse Laws
:
Updated:
FINRA Suspends Registered Individuals in November 2016 for Violations of FINRA Rules
:
Updated:
FINRA Suspends Individuals in November 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Bars Individuals in November 2016 for Violations of FINRA Rules
:
Updated:
Former Chicago-based Stifel Nicolaus Broker Under Investigation After Permanent FINRA Bar
:
Updated:
Former National Securities Corporation Broker in Miami, Fla. Under Investigation After Permanent FINRA Bar and Excessive Trading Allegations
:
Updated:
Former J.P. Morgan Broker Under Investigation After Discharge and FINRA Suspension
:
Updated:
Former Miami-based Morgan Stanley Broker Under Investigation After Permanent FINRA Bar
:
Updated:
Another FINRA-barred Sagepoint Financial Broker Under Investigation
:
Updated:
Former Meyers Associates Broker Under Investigation for Unsuitable Recommendations
:
Updated:
FINRA Accuses Broker of Losing $8 Million Investing in ETFs
:
Updated:
FINRA Bars Former Sagepoint Financial Broker for Stock Manipulation of an Illiquid OTC Security
:
Updated:
FINRA-barred Janney Montgomery Scott Broker Under Investigation for FINRA Arbitrations
:
Updated:
Silver Law Group Files Claim Against Citigroup Broker Charlie Yeung for Unsuitable Recommendation in Alpha Natural Resources
:
Updated:
FINRA Considers Establishing Fund for Unpaid FINRA Arbitration Awards
:
Updated:
Failure to Comply with FINRA Request Terminates Broker Lance Shaw’s Securities Industry Career
:
Updated:
Are (or Were) Unsuitable Non-Traded REITs in Your Portfolio?
:
Updated:
FINRA Permanently Bars Gary Eugene Donovan for Stock Manipulation
:
Updated:
FINRA Suspended Broker Edward R. Segur
:
Updated:
Wells Fargo Broker Wonnie Lynn Short Permanently Barred by FINRA
:
Updated:
FINRA Suspends Registered Individuals in October 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in October 2016 for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in October 2016 for Violations of FINRA Rules
:
Updated:
Former Clearwater, Florida Broker Under Investigation after FINRA Suspension for Unsuitable Recommendations
:
Updated:
Former Boca Raton, Florida-based Raymond James Broker Under Investigation for Discretionary Trading in Non-Discretionary Account
:
Updated:
In August 2016, FINRA filed a formal complaint against a broker
:
Updated:
In July 2016, Prudential Annuities Distributors
:
Updated:
FINRA filed a cease and desist order in the spring of 2015 against Avenir Financial Group
:
Updated:
From December 2012 to August 2014, Jeffrey C
:
Updated:
Two brokers, Fernando L
:
Updated:
As the sole distributor of a Real Estate Investment Fund
:
Updated:
What You Can Do If You’re the Victim of Elder Financial Fraud – Elder Financial Fraud Attorneys
:
Updated:
Burnham Securities, Tribal Bonds, Joe Biden’s Son, and Some Other Star-Studded Connections
:
Updated:
Brookstone Securities, as well as its owner/CEO
:
Updated:
FINRA Suspends Rafael Moreno for Not Disclosing Outside Business Activity
:
Updated:
Apostolos Nicholas Papadea Fined and Suspended by FINRA
:
Updated:
Broker William Hutchinson Barred by FINRA
:
Updated:
FINRA Has Filed a Complaint Against Broker Jeffrey Krupnick
:
Updated:
Former Independent Financial Group Broker Under Investigation for Allegedly Stealing Client Funds and Unsuitable Recommendations
:
Updated:
Minnesota Broker Mark David Holt Barred by FINRA
:
Updated:
FINRA Suspends Broker Gregory Taylor
:
Updated:
New Jersey Broker Glenn King Barred by FINRA
:
Updated:
WestPark to Acquire Some Newport Coast Securities Reps
:
Updated:
Silver Law Group Files another FINRA Arbitration Complaint Against RBC Capital Markets for Unsuitable Recommendations in the Oil and Gas Industry
:
Updated:
Is FINRA’s Senior Helpline Working to Combat Elder Financial Fraud?
:
Updated:
5 Tips for Preventing and Discovering Stockbroker and Investment Fraud
:
Updated:
Silver Law Group Defending Thousands of Investors in an International Fraud Case Against Cryptsy CEO
:
Updated:
The Definitive Guide to Securities Arbitration and Mediation
:
Updated:
Crowdfunding and Securities: What You Need to Know to Stay Protected
:
Updated:
What Keeps a Ponzi Scheme Running?
:
Updated:
What to Expect from FINRA Dispute Resolution
:
Updated:
Minnesota Broker John Heath Allegedly Steals Funds from a Client’s Annuity
:
Updated:
Silver Law Group Files FINRA Arbitration Claim Involving Churning Against Two National Broker/Dealers and Financial Advisor Curtis Milakovich
:
Updated:
Former Miami, Florida-based Broker Under Investigation for Unsuitable Recommendations
:
Updated:
How FINRA’s Handling the Problem of Unpaid Securities Arbitration Awards
:
Updated:
FINRA’s New Rule Requires Member Firms’ Websites to Link to BrokerCheck Reports
:
Updated:
How to Prepare for a FINRA Hearing
:
Updated:
Duluth Broker Kenneth Kolquist Permanently Barred by FINRA
:
Updated:
Baton Rouge Broker Ralph Savoie Permanently Barred by FINRA
:
Updated:
My Financial Advisor is Giving Me the Runaround on My Investments, What Are My Rights?
:
Updated:
5 Signs You Should Contact Your Securities Arbitration Attorney
:
Updated:
What is the Statute of Limitations on Securities Fraud?
:
Updated:
7 Telltale Signs of Broker Fraud
:
Updated:
Winston Turner Facing Allegations of Variable Annuity Fraud
:
Updated:
Connecticut Broker Matthew Woodard Permanently Barred by FINRA
:
Updated:
Meyers Associates Broker Matthew Siliato Under Investigation for Pending Suitability and Breach of Fiduciary Duty Claims
:
Updated:
Bahram Mirhashemi Facing Allegations of Elder Financial Fraud
:
Updated:
FINRA Permanently Bars Wayne Anthony Schultz from the Securities Industry
:
Updated:
FINRA Suspends Christopher Kelly from Securities Industry for Four Months
:
Updated:
New York Broker John Labarca Permanently Barred from the Securities Industry
:
Updated:
Allegations of Sales Practice Violations Cloud Broker Kenneth Dlouhy ‘s Record
:
Updated:
Georgia Broker Clay Hoffman Suspended by FINRA
:
Updated:
Darnell Deans Fails to Pay FINRA Fines As Agreed, Is Permanently Barred
:
Updated:
FINRA Suspends Registered Individuals in July 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in July 2016 for Violations of FINRA Rules
:
Updated:
Individuals Barred by FINRA in July 2016 for Violations of FINRA Rules
:
Updated:
Carlton E. Burton’s Short Brokerage Career Ends in Permanent Bar by FINRA
:
Updated:
Utah Broker Thomas E. Andrews Permanently Barred by FINRA
:
Updated:
Broker Ricardo Broome Permanently Barred From FINRA
:
Updated:
South Florida Broker Giovanni Acevedo Accused of Converting Funds and Providing False Information to FINRA
:
Updated:
Michigan-based Broker Merid Amde Suspended and Fined $20,000 By FINRA
:
Updated:
Church Loses $135,000 Due to Alleged Bad Advice From Broker Betsy Marcom
:
Updated:
Michigan-based Firm and Licensed Broker Pocket $11.4 Million in Commissions
:
Updated:
Cryptocurrency Exchange Bitfinex Suspends Its Operations
:
Updated:
Paul Steffany Barred After Allegations of Forgery and Conversion
:
Updated:
New York Broker Gregory Flemming Suspended by FINRA
:
Updated:
Barbara Fife Barred from Securities Industry After Two Decades
:
Updated:
Liam O’Keefe, Fraud Advisors Investigation
:
Updated:
In June 2016, FINRA Bars Registered Individuals for Failure to Comply with FINRA Rules
:
Updated:
Registered Individuals Suspended by FINRA in June 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in June 2016 for Violations of FINRA Rules
:
Updated:
In May 2016 FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in May 2016
:
Updated:
FINRA Bars Registered Individuals in May 2016 for Violations of FINRA Rules
:
Updated:
Attorney’s Fees in Securities Arbitration Update
:
Updated:
Former Pro Athletes Win FINRA Arbitration Award After Former Fort Lauderdale, Florida-Based Morgan Stanley Broker Lured Them Into Bad Investments
:
Updated:
United Development Funding Claims It as Conducted an Internal Investigation; Awaiting Ongoing Civil and Criminal Investigations
:
Updated:
West Palm Beach-Based, RBC Broker Samuel K. Kolton Under Investigation for Overconcentrating Customers in Puerto Rico Bonds
:
Updated:
Woodbury Financial Services Broker Daniel J. Dunn Under Investigation
:
Updated:
VSR Financial Broker Mickey Long Under Investigation
:
Updated:
VSR Financial Services Broker Dennis Van Patter Under Investigation for Oil and Gas Securities Recommendations
:
Updated:
Former South Florida-Based RBC Broker Lisa J. Lowi Under Investigation for Litany of Energy-Related Customer Complaints
:
Updated:
SEC Files Complaint Against Registered Brokers After Tricking Investors Into Buying Coconut Creek, Florida-Based ForceField Energy, Inc.
:
Updated:
Frederick Monroe, 16-year Financial Advisor, Permanently Barred by FINRA
:
Updated:
Martin Waldman Subject of a Securities Arbitration Claim
:
Updated:
Paul Posillico, Aegis Financial Corp., Investigation
:
Updated:
David Burke, Shearson Financial Services, LLC of Boca Raton, FL
:
Updated:
Murphy’s Misconduct
:
Updated:
Silver Law Group Investigates U.S. Mutual Fund Companies with heavy concentration in Puerto Rican debt
:
Updated:
Silver Law Group Continues to Investigate and Pursue Claims Against Brokerage Firms in Puerto Rico for Investment Losses in Leveraged Closed-End Bond Funds
:
Updated:
Broker William Siegel Discharged by Morgan Stanley and Permanently Barred by FINRA
:
Updated:
Silver Law Group Retained by a Court Appointed Corporate Monitor to Pursue Claims Against a Large Broker-Dealer and Clearing Firm
:
Updated:
How to Help Your Parents Avoid Fraudulent Investments
:
Updated:
The New Fiduciary Duty Rule Governing Retirement Accounts
:
Updated:
FINRA Bars Individuals in April 2016 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Individuals in April 2016 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in April 2016
:
Updated:
FINRA Panel Orders Morgan Stanley to Pay $34 million for Exploiting an Elderly Florida Man
:
Updated:
Plot Thickens in Aequitas Saga; Investors File Suit Against Tonkon Torp, Deloitte
:
Updated:
Silver Law Group Investigates CONCERT Wealth Management, Summit Advisor Solutions, Private Advisory Group and other RIAs who Sold Aequitas Securities Amidst SEC Allegations of it Running a “Ponzi-like” Scheme
:
Updated:
Aequitas Business Partner Corinthian Colleges Ordered to Pay Over $1 Billion for Misleading Students
:
Updated:
FINRA Suspends Individuals in March 2016 for Failing to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in March 2016
:
Updated:
FINRA Bars Registered Individuals in March 2016 for Failure to Comply with FINRA Rules
:
Updated:
SEC Charges Mark A. Jones with Operating $10 Million Ponzi Scheme that Claimed to Offer Loans to Jamaican Businesses
:
Updated:
SEC Halts Fraud by New Jersey-Based Fund Manager of Investments in Pre-IPO Tech Companies
:
Updated:
Investor Beware: Does Your Broker Have Access to Your Online Trading Account?
:
Updated:
LPL Financial Broker Eugene Smietana Discharged from Firm and Permanently Barred by FINRA
:
Updated:
Broker Russell Macke Banned by FINRA After Multiple Complaints, FINRA Actions, and Terminations
:
Updated:
Morgan Stanley Discharges and FINRA Permanently Bars Broker Samuel Wylie Sloane
:
Updated:
David Levy, of Titus Rockefeller, LLC, Permanently Barred from Broker Activity After Long Career of Suspicious Activity
:
Updated:
Have You Invested Money with William “Billy” Nelson and Lost?
:
Updated:
Recidivist Fraudster Edward Durante is Indicted for Scamming Investors out of $11 Million Through the Sale of VGTel
:
Updated:
New York Broker Patrick Teutonico Under Investigation
:
Updated:
SEC Charges Oregon-based Aequitas Management LLC and Its Executives with Operating $350 Million Investment Fraud
:
Updated:
Broker Li Lin Hsu Suspended by Request of FINRA
:
Updated:
Silver Law Group Investigates CONCERT Wealth Management, Summit Advisor Solutions, Private Advisory Group and other RIAs who Sold Aequitas Securities Amidst SEC Allegations of it Running a “Ponzi-like” Scheme
:
Updated:
FBI Raids United Development Funding (“UDF”) Headquarters Amidst SEC Investigation
:
Updated:
Former Smith Barney, Raymond James, and Morgan Keegan Broker Claus Foerster Indicted for Fraud
:
Updated:
California Broker Rick Esparza Borrowed Money From Client, Permanently Barred by FINRA
:
Updated:
Boca Raton Financial Advisor Robert Child Faces Yet Another Customer Dispute
:
Updated:
WFG Investments Broker Carl Busch Fined and Suspended by FINRA
:
Updated:
Have You Lost Money with Cantone Research Inc.?
:
Updated:
Have You Enlisted the Financial Services of William Bailey?
:
Updated:
FINRA Suspends Registered Individuals in February 2016 for Failure to Comply with FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals in February 2016 for Violations of FINRA Rules
:
Updated:
FINRA Bars Registered Individuals in February 2016 for Violations of FINRA Rules
:
Updated:
Did Bernard Parker Use Your Money to Remodel His Home?
:
Updated:
FINRA Permanently Bars Barry Hartman From Securities Activity for Alleged “Selling Away” Activities
:
Updated:
FINRA Permanently Bars Raymond T. Clark from Securities Industry
:
Updated:
FINRA Bars Patrick Garrett Amid Allegations of Overstating Account Values
:
Updated:
Broker Richard Drown Disappeared According to Firm
:
Updated:
Silver Law Group is Pursuing Claims Related to Former RBC Broker Paul Blum
:
Updated:
Churning, Other Allegations Made Against Broker Michael Doyle
:
Updated:
Leon Vaccarelli Fined and Sanctioned by FINRA
:
Updated:
David Sullivan Accused of Excessive Trading on More Than One Occasion
:
Updated:
William Slone’s 45-year Career Shows 14 FINRA Disclosure Events
:
Updated:
Have You Lost Money After Investing with Christopher F. Veale?
:
Updated:
Did you lose investment money with Joshua Gladtke?
:
Updated:
South Florida Broker, Walter Priebe, Receives FINRA Disciplinary Action
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Updated:
FINRA Alleges Broker Gopi Vungarala Charged $11 million in Commissions for nontraded REITs and BDCs and Lied About it
:
Updated:
James Michael Johnson Made Big Promises, No Return
:
Updated:
Glenn Moffitt Barred By FINRA For Alleged Elder Fraud
:
Updated:
Former HD Vest Investment Services and LPL Financial Advisor Daniel Kasbar Under Investigation
:
Updated:
Former West Palm Beach broker Paul V. Blum Under Investigation
:
Updated:
Alain Florestan Guilty of Putting Profits Before Customers
:
Updated:
Failure to Adequately Supervise Prompts FINRA Suspension of Roman Luckey
:
Updated:
SEC Alleges New York-Based Lending Company and its Placement Agent Raise $8.6 million by Lying to Investors
:
Updated:
Silver Law Group Investigates the Ivy Asset Strategy and Waddell & Reed Asset Strategy Funds for Potential Securities Law Violations
:
Updated:
Margin Account Guidelines
:
Updated:
Silver Law Group is Pursuing Claims by Investors For Losses in Oil, Gas & Energy, Stocks, Bonds, MLPs and Funds
:
Updated:
Dallas Stockbroker Wade Lawrence Gets 3 Years for Securities Fraud Scheme
:
Updated:
FINRA Suspends Registered Individuals for Failing to Comply with FINRA Rules in January 2016
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in January 2016
:
Updated:
Registered Individuals Barred by FINRA for Violations of FINRA Rules in January 2016
:
Updated:
FINRA Permanently Bars Texas Broker Joe L Buckner
:
Updated:
Marc Arena: Hear No Evil, See No Evil Allegations
:
Updated:
Silver Law Group Files Class Action Lawsuit Against Cryptsy and Its Principal Paul (“Big Vern”) Vernon
:
Updated:
Abern Barred by FINRA for Failing to Cooperate
:
Updated:
FINRA Permanently Bars Broker Richard McGuire for Taking Funds and Forging Signatures
:
Updated:
FINRA Permanently Suspends New York Broker Frederick Monroe for Misappropriating Funds
:
Updated:
Merrill Lynch Broker Permanently Barred After Years of Allegations and Refusal to Respond to FINRA Requests for Information
:
Updated:
Hugh M. Dyson, Jr. Suspended and Ordered To Pay $740,000 In Restitution
:
Updated:
Matthew DiGregorio Suspended After Multiple Client Complaints
:
Updated:
Have You Lost Money Investing With Bennett Broad?
:
Updated:
Marat Zeltser Has Been Barred By FINRA After Numerous Allegations of Misconduct
:
Updated:
FINRA Permanently Bars Honetta C. Kao After Allegations of Unauthorized Trading and Mishandled Accounts
:
Updated:
FINRA Permanently Bars NY Broker Rasheed Adams After Allegations of Churning
:
Updated:
Jose Irizarry Permanently Barred by FINRA After Involvement in UBS Puerto Rico Fiasco
:
Updated:
Wells Fargo Advisor Robert M. Giusti Under Investigation for Unsuitable Recommendations and Other Alleged Misconduct
:
Updated:
Wells Fargo Financial Advisor Donald Toomer, Jr. of Las Vegas, Nevada Accused of Penny Stock Fraud
:
Updated:
SEC Accuses Chris Brogdon of Securities Fraud Involving Multiple Different Entities
:
Updated:
FINRA Releases Focus for 2016; Emphasis on Securities Firms’ Culture, Supervision, and Liquidity
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in December 2015
:
Updated:
FINRA Revokes Individuals Licenses for Failing to Comply with FINRA Rules in December 2015
:
Updated:
In December 2015, FINRA Bars Individuals for Failure to Comply with FINRA Rules
:
Updated:
Why South Florida is a Target for Ponzi Schemers
:
Updated:
Oxford City Football Club Named in $6.6M Stock Investment Fraud Case
:
Updated:
Former LPL Broker Thomas Hindes Barred by FINRA
:
Updated:
The Psychology of a Ponzi Schemer
:
Updated:
Cross-selling: Taking Advantage of Customer Loyalty or Good Business Practice?
:
Updated:
FINRA Bars Former Newbridge Broker Jerry Mofield
:
Updated:
Fired LPL Broker Alfred Talens Barred by FINRA
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Suspends Registered Individuals for Failure to Comply with Award or Settlement Agreement
:
Updated:
Registered Individuals Barred by FINRA for Violations of FINRA Rules
:
Updated:
Paul A. Posillico Permanently Barred from Securities Industry
:
Updated:
Equinox Securities Company and Staff Charged With Fraud Scheme
:
Updated:
Chestnut Exploration and Mark Plummer Facing Allegations of Securities Fraud With Oil & Gas Securities
:
Updated:
FINRA Bars Broker Michael Talin From Securities Industry
:
Updated:
Former New York Life Broker, Jonathan Williams, Barred by FINRA as a Result of Outside Business Activities
:
Updated:
Where Are the Whistleblower Office Awards?
:
Updated:
FINRA Suspends Individuals for Failure to Comply with FINRA Rules in November 2015
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in November 2015
:
Updated:
In November 2015, FINRA Bars Registered Individuals for Violations of FINRA Rules
:
Updated:
Broker Sylvester King Jr. Sanctioned and Suspended by FINRA
:
Updated:
FINRA Takes Action Against Cantone Research
:
Updated:
The SEC Brings Christopher Brogdon to Justice After More Than a Decade of Fraudulent Activity
:
Updated:
FINRA Files Complaint Against Advisor Valentino Infante
:
Updated:
FINRA Bars David Levy From Practicing as a Financial Advisor
:
Updated:
Tiffany Peacock-Asakawa Gets 10-Month Suspension Following Allegations of False Representation and Document Falsification
:
Updated:
SEC Settles with UBS Over Losses in the Willow Fund, a UBS Proprietary Alternative Investment
:
Updated:
NFP Advisor Services, LLC Censured and Fined $500,000 by FINRA
:
Updated:
Indiana-based Broker Thomas Joseph Buck Permanently Barred by FINRA
:
Updated:
Legal Investigations Follow SEC Risk Alert Regarding Oil & Gas Investments
:
Updated:
Massachusetts-based Broker Jeffrey B. Pierce Permanently Barred by FINRA
:
Updated:
New Rule to Protect Investors Has Brokers Upset
:
Updated:
Five Arizona Residents Charged By SEC for Stealing From Investors
:
Updated:
Proposed Fiduciary Duty Rule Poised to Pass, Leaves Brokers Seething
:
Updated:
Rainmaker Securities Sanctioned by Regulators for Multiple Violations
:
Updated:
UBS to Pay FINRA Claimants $3M in Puerto Rico Muni Bond Case
:
Updated:
Broker Bradley Drude Suspended and Fined due to Undisclosed Conflict of Interest
:
Updated:
Philip Grasso Jr. Barred by FINRA Due to Allegations of Elder Fraud
:
Updated:
Broker Justin Amaral Permanently Barred from Securities Industry
:
Updated:
Miami Broker Mikell Simmons Fined and Suspended by FINRA
:
Updated:
UBS Ordered to Pay $33.5M in Puerto Rico Bond Settlement
:
Updated:
South Florida Broker Brian Michael Berger Permanently Barred by FINRA
:
Updated:
Broker Paul G. Shea Permanently Barred by FINRA
:
Updated:
Silver Law Group Investigates Global Financial Fund 8 LLP and Transglobal Financial Services
:
Updated:
New York Broker Paul Padovani Suspended by FINRA
:
Updated:
SEC Reiterates Oil and Gas Fraud Investor Alert
:
Updated:
Antonio Costanzo Permanently Barred by FINRA After Alleged Churning in Customer Accounts
:
Updated:
Stifel Nicolaus & Co.’s Michigan Broker Kenneth Hornyak Permanently Barred By FINRA
:
Updated:
Florida Broker Salim Lyazidi Permanently Barred by FINRA
:
Updated:
Silver Law Group Investigates Arthur Jacob, CPA and Innovative Business Solutions, LLC
:
Updated:
Palm Beach Gardens Broker Ralph Oelbermann Permanently Barred by OFR And FINRA
:
Updated:
State Securities Regulators Report High Number of Senior Financial Abuse Cases
:
Updated:
Hindsight Is 20/20: Famous Ponzi Schemes and Why They Weren’t Obvious
:
Updated:
6 Questions You Must Ask Potential Brokers Before Handing Over Your Money
:
Updated:
SEC Alleges Broker William Quigley Schemed to Defraud Investors
:
Updated:
Samuel Borger Suspended by FINRA for Two Months
:
Updated:
Alejandro Torres Barred by FINRA on Conversion Allegations
:
Updated:
Oriental Financial Services Fined and Censured by FINRA After Alleged Withholding Information
:
Updated:
Elder Fraud on the Rise in South Florida
:
Updated:
FINRA Orders UBS Group AB to Pay Puerto Rico Investors $2.5 Million
:
Updated:
Will the 2015 Market Break Cause FINRA Claims to Rise?
:
Updated:
FINRA Cancels Global Arena Capital’s License
:
Updated:
David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration
:
Updated:
Former Morgan Stanley Employees File Suit Alleging Violations of the SEC Whistleblower Protections
:
Updated:
Securities Industry Lingo May Interfere With Financial Advising
:
Updated:
South Florida Broker Ralph Oelbermann Barred by FINRA
:
Updated:
Florida Broker Peter Gouzos Banned by FINRA
:
Updated:
Bryan Carnahan Barred From Practice in Securities Industry Following Allegations of Scheme to Defraud Customers
:
Updated:
SEC Report Finds Flaws in the Retail Sales of Structured Securities Products
:
Updated:
Timothy DiBlasi Under FINRA Scrutiny for Lack of Compliance Supervision
:
Updated:
FINRA Orders Interactive Brokers LLC to Pay Hedge Fund $667,000
:
Updated:
New York Broker Nathalo Menendez Permanently Barred By FINRA
:
Updated:
FINRA Has Darrel Michael “Mike” Cruz Under Fire After Alleged Supervisory Failings
:
Updated:
Scottsdale Capital Advisors Awaiting FINRA Disciplinary Action After Alleged Scheme
:
Updated:
John Hurry May Face FINRA Charges, Sanctions Following Allegations
:
Updated:
Richard Gomez Allegedly Involved With Fraudulent Company
:
Updated:
Martin Knapp, Formerly a Broker with Syndicated Capital, Barred from Industry by FINRA
:
Updated:
Dalyne Shinneman Barred from Practice after 23 Years in Securities Industry
:
Updated:
Broker Sylvester King, Jr. Resigns from Wells Fargo Advisors, LLC Concurrent with FINRA Suspension
:
Updated:
Spartan Securities Broker Scott Reynolds Fined by FINRA
:
Updated:
Scott Matthews Barred From FINRA Due to Failure to Disclose Leads
:
Updated:
SEC Announces Citigroup Affiliates to Pay $180 Million in Hedge Fund Fraud Settlement
:
Updated:
1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA
:
Updated:
FINRA Levies $250,000 Fine Against LPL Financial
:
Updated:
John Thornes Barred by SEC After Conversion Allegations
:
Updated:
Morgan Stanley broker Peter H. Kim Barred for Allegedly Taking Client Funds for Personal Use
:
Updated:
Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans
:
Updated:
Thomas Hogle Barred by FINRA After Alleged Lack of Cooperation With Investigation
:
Updated:
Neil Buysse Barred by FINRA
:
Updated:
Anthony Diaz Permanently Barred by FINRA for Alleged Unethical Practices
:
Updated:
Cetera Broker Alex P. Anderson Permanently Barred by FINRA
:
Updated:
FINRA Files Cease and Desist Order Against Avenir Financial Group, CEO Michael Clements, and Registered Representative Karim Ibrahim for Fraud Against Elderly Investors
:
Updated:
Blackbook Capital LLC Fined $50,000 by FINRA
:
Updated:
New York Trident Partners Broker and CCO William Michael Quigley Permanently Barred by FINRA
:
Updated:
Puerto Rico’s Debt Crisis Hits Home With Local Investors
:
Updated:
Randy Bostick Permanently Barred from Securities Industry
:
Updated:
Florida Broker Errol Constantine Hyde Permanently Barred by FINRA
:
Updated:
James E. Scott Permanently Barred from Securities Industry by FINRA
:
Updated:
Broker Focus: Broker Peter Yao Permanently Barred from Securities Industry
:
Updated:
1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA
:
Updated:
Alleged Manipulative Trading of Securities Lands Firm and Brokers in FINRA Complaint
:
Updated:
FINRA Warns Investors About Utilizing Automated Investment Tools
:
Updated:
Investors should be Aware of Bond Liquidity
:
Updated:
Mutual Fund Sales Violations
:
Updated:
J. P. Turner Associates Turning Elsewhere After Firm Closure
:
Updated:
Douglas William Finlay Jr. Suspended and Fined by FINRA
:
Updated:
Class Action Suit Against Citigroup Results in $13.5 Million Settlement
:
Updated:
Fined and Suspended by FINRA: Douglas J. Dannhardt of Prospera Financial Services, Inc.
:
Updated:
Firm Focus: Liberty Partners Financial Services, LLC Fined $20,000 by FINRA
:
Updated:
Lawrence LaBine Under Fire for Alleged Unsuitable Recommendations and More
:
Updated:
Miami Broker Phil Donnahue Williamson Charged with Defrauding Retired Teachers
:
Updated:
Boca Raton Oppenheimer Employees Settle SEC Investigation
:
Updated:
UBS Puerto Rico Under Federal Investigation for Alleged Violations
:
Updated:
SEC Charges 54Freedom, Inc. with Securities Fraud
:
Updated:
AlphaBridge Capital Management Charged By SEC for Fraudulent Fund Valuation Scheme
:
Updated:
Giovanni Acevedo, of Voya Financial Advisors, Inc., Accused of Converting Funds
:
Updated:
Class Action Suit Sheds Light on Alleged NSC Negligence
:
Updated:
Christopher Veale Under Investigation From FINRA After Churning Allegations
:
Updated:
Silver Law Group Investigates FINRA-Barred Broker Thomas Buck
:
Updated:
Jon Cox Barred From Securities Industry After FINRA Launches Investigation
:
Updated:
Two LPL Financial LLC Brokers, Thomas Caniford and Andrew Carter, Permanently Barred by FINRA
:
Updated:
Should You Trust Penny Stocks Endorsed by Celebrities?
:
Updated:
Investors Beware: SEC Warns of Financial Professionals Making False Claims
:
Updated:
Broker Focus: Patrick Teutonico in the Spotlight for Unauthorized Transactions
:
Updated:
Investor Update: What You Need to Know About Churning
:
Updated:
Have You Suffered Financial Losses with Bruce Sabourin?
:
Updated:
SEC Charges Florida based DFRF Enterprises, LLC with Operating $15 Million Gold Mining Ponzi Scheme Targeting Spanish and Portuguese-speaking Investors
:
Updated:
Alex Makarovsky Recently Sanctioned by FINRA
:
Updated:
Michael McGregor Suspended for 45 Days, Fined $5000
:
Updated:
Broker Robert Tricarico Permanently Barred from Securities Industry
:
Updated:
FINRA Bars Wesley C. Smith
:
Updated:
FINRA Terminates Brokers’ Licenses in June 2015
:
Updated:
Brokers’ Licenses Revoked by FINRA in June 2015
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules in June 2015
:
Updated:
FINRA Suspends Brokers for Failing to Comply with FINRA Rules in June 2015
:
Updated:
Widow of HSN Founder Files Suit against Morgan Stanley
:
Updated:
FINRA Creates Interactive Game Intended to Help Investors Combat Fraud
:
Updated:
Customer Files Claim Against Wells Fargo For Investing in F-Squared Investments
:
Updated:
Broker Mark Joy Lane Barred by FINRA for Failure to Respond to FINRA Request for Information
:
Updated:
Former Kovack Securities Broker Curtis Milakovich Barred by FINRA
:
Updated:
Former Securities America Broker Judith Woodhouse Permanently Barred by FINRA
:
Updated:
Jenna Connett, Formerly a Broker at Morgan Stanley, Permanently Barred by FINRA
:
Updated:
Josh Abernathy, O.N. Equity Sales Company Broker, Permanently Barred by FINRA
:
Updated:
Former Oppenheimer Broker Darrell Raymond Permanently Barred by FINRA for Failing to Provide Information
:
Updated:
Ameriprise Broker Joel Blum Suspended by FINRA for Unauthorized Trading
:
Updated:
Broker Michael Patrick O’Neill Fined and Suspended by FINRA for Impersonating a Former Customer
:
Updated:
Robert Charles Mangold Permanently Barred by FINRA
:
Updated:
SEC and U.S. Attorney Charge Miami Investment Advisor in Ponzi Scheme Targeting Retired Public Sector Employees
:
Updated:
Broker Charles D. Johnson Permanently Barred by FINRA
:
Updated:
New York Broker Raymond Thomas Clark Permanently Barred by FINRA
:
Updated:
Homer Vining, Former J.P. Turner Broker Suspended by FINRA for Failure to Pay an Arbitration Award
:
Updated:
FINRA Fines LPL Financial LLC $11.7 Million for Failures to Supervise and Monitor Trades
:
Updated:
FINRA Head: SEC Should Lead in Development of Fiduciary Standard
:
Updated:
Pedro Molina’s Securities Industry Career Ends With FINRA Permanent Suspension
:
Updated:
Silver Law Group Files Securities Arbitration Case Against Dawson James
:
Updated:
Brokers Suspended by FINRA in May 2015 for Failing to Comply with FINRA Award or Settlement Agreement
:
Updated:
SEC and FINRA Holding Compliance Program for Broker-Dealers
:
Updated:
FINRA Terminates Brokers’ Licenses in May 2015
:
Updated:
Stockbroker Thomas Tedeschi and Broker-Dealer Aegis Capital Corp. are the Subject of Multiple Securities Arbitration Claims Against Them for Churning
:
Updated:
SEC Announces Fraud Charges against eCareer Holdings, Inc. and Brokers Dean Esposito of Boca Raton, FL, Joseph Devito of Brooklyn, NY and Frederick Birks of Orlando, FL
:
Updated:
FINRA Terminates Brokers’ Licenses in March 2015
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
FINRA Bars Brokers for Failing to Pay Arbitration Awards or Settlements – March 2015
:
Updated:
Florida Stockbroker Richard Ohrn Fakes Disappearance
:
Updated:
Seadrill Lawsuits Ordered to be Consolidated
:
Updated:
SEC Charges Former NFL Player and His Business Partner in $32 Million Ponzi Scheme Involving Loans to Professional Athletes
:
Updated:
Morgan Stanley Investigated for Securities Recommendations
:
Updated:
Oppenheimer Hit With $20 Million in Fines
:
Updated:
State of Florida Charges Four Computer Support Companies in Ruthless Fraud Scheme
:
Updated:
Legal Recourse May be Available to Investors Hurt by Cobalt International and Seadrill Limited Stock Declines
:
Updated:
Silver Law Group is Investigating Financial Advisor Anthony Fisher
:
Updated:
FINRA Bars Mark Foster from Securities Industry
:
Updated:
FINRA Bars Ismail Elmas for Theft of Client Funds
:
Updated:
SunTrust Investment Services, Inc. Fined by FINRA for Improper Assessment of Investment Advisory Fees
:
Updated:
FINRA Broker, Phillip John Bucaro, Fined for Selling Unapproved Annuities
:
Updated:
Thomas Neil Charbonneau Barred by FINRA for Selling Penny Stocks
:
Updated:
FINRA Bars David Gabai for Market Manipulation
:
Updated:
FINRA Bars Jan Ernest Helen for Refusing to Cooperate in Investigation Relating to Missing Customer Funds
:
Updated:
FINRA Bars Clark Gardner from Securities Industry for Converting Customer Funds
:
Updated:
FINRA Bars Herbert Kaye for Executing Trades without Prior Authorization
:
Updated:
FINRA Suspends James Edward Rooney Jr. for Unauthorized Transactions
:
Updated:
FINRA Bars Timothy Landrum for Possible Misappropriation of Client Funds
:
Updated:
FINRA Bars Registered Individuals for Violations of FINRA Rules
:
Updated:
FTC and State of Florida Charge Inbound Call Experts LLC and Advanced Tech Supportco LLC in $120 Million Fraud Scheme
:
Updated:
Stockbroker Patricia Miller Terminated for Allegedly Misappropriating Customer Funds
:
Updated:
Chapin Davis Settles Claims Relating to Structured Notes
:
Updated:
Stephen Eldridge Ridgely, II Barred from Securities Industry
:
Updated:
FINRA Files a Complaint against Peter Michael Terlecky III for Improper Variable Annuity Sales
:
Updated:
FINRA Files Regulatory Charges against Meyers Associates, L.P., Imtiaz A. Khan and Bruce Meyers for Improperly Marketing a Private Placement
:
Updated:
FINRA Files Disciplinary Charges against Global Strategic Investments, LLC
:
Updated:
FINRA Files Disciplinary Charges against Jonathan A. Francis
:
Updated:
FINRA Files Disciplinary Charges against Bradley Claus Relating to an Oil and Gas Company
:
Updated:
FINRA Files Disciplinary Charges against Candius J. Bannister
:
Updated:
Darrell Duane Smith Barred from Securities Industry after Receiving Multiple Customer Complaints
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules – 2
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules
:
Updated:
Cold Calling Stockbrokers aren’t Only on Long Island
:
Updated:
JPMorgan Chase Settles Investor Class Action Relating to Forex Trading
:
Updated:
FINRA Files Disciplinary Charges against Cantella & Co., Inc.
:
Updated:
FINRA Files Disciplinary Charges against Aon Douglas Miller
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules – 4
:
Updated:
FINRA Suspends Registered Individuals for Violations of FINRA Rules – 3
:
Updated:
Commodity Trader Paul Greenwood Sentenced to a Decade in Federal Prison for Billion-Dollar Investment Scam
:
Updated:
FINRA bars Aegis Capital Corp Broker Malcom Segal from Securities Industry Over Allegations of Outside Business Activities
:
Updated:
Federal Judge Refuses to Dismiss Clearing Firm Claims against Pershing
:
Updated:
SEC Charges Boiler Room with Being a Fraud Targeting Seniors
:
Updated:
GL Capital Partners Chief Executive Officer Charged with Securities Fraud
:
Updated:
FINRA Fines 10 Firms $43.5 Million for Conflicts of Interest by Research Analysts in Advance of an IPO
:
Updated:
Former LPL Broker Travis Wetzel Pleads Guilty to Defrauding an Elderly Client
:
Updated:
Two Florida Businessmen Plead Guilty to a $20 Million Dollar Ponzi Scheme
:
Updated:
Silver Law Group is Investigating NSM Securities, Inc.
:
Updated:
Silver Law Group Files Lawsuits Against Cryptocurrency Exchanges Bitcoin Savings & Trust and Cryptsy
:
Updated:
Silver Law Group Warns Investors about Alternative Investments
:
Updated:
FINRA Hits Newport Coast Securities and Its Representatives with Churning Charges
:
Updated:
Scott Silver Presents “How to Win an Alternative Investment Case” at the 2014 American Association of Justice Annual Convention
:
Updated:
SEC Charges Palm Beach CEO, Cecil Franklin Speight, in $3 Million Fraud Scheme
:
Updated:
Silver Law Group Represents 93 year old Victim of Elder Financial Abuse
:
Updated:
Winsome Investment Trust, U.S. Ventures LC, and their Individual Owners Assessed $44 Million Sanction for Commodity Pool Fraud and Misappropriation
:
Updated:
Silver Law Group Named Commodities Law Firm of the Year by Finance Monthly
:
Updated:
Silver Law Group Settles Investor Class Action for $13 Million
:
Updated:
FINRA Proposes New Rule to Make Brokerage Fees More Transparent to Customers
:
Updated:
Federal Appeals Court Upholds SEC Ban on Broker-Dealer Principal for Failing to Prevent Churning and Excessive Trading
:
Updated:
FINRA Fines Merrill Lynch $8 Million and Orders it to Repay Over $89 Million to Retirement Accounts for Overcharging for Mutual Funds
:
Updated:
SEC Charges Investment Advisor with Improperly Raising Funds for Ponzi Scheme
:
Updated:
Connecticut Securities Regulator Seeks to Bar Meyers Associates from Selling Securities in Connecticut
:
Updated:
FINRA Arbitration Panel Orders UBS to Pay $5.3 Million for Misleading a Financial Advisor and his Clients about a Proprietary Product Tied to Lehman Brothers
:
Updated:
Investors May Suffer Additional Losses if Puerto Rico Restructures its Municipal Debt
:
Updated:
Are Private Equity Funds the Next Wave of Lawsuits?
:
Updated:
FINRA Revises Brokerage Firm’s Supervisory Rules
:
Updated:
CFTC Shuts Down another Florida Ponzi Scheme
:
Updated:
Silver Law Group Urges FINRA to Lift the Stay of all Puerto Rico Arbitration Claims
:
Updated:
Reuters’ Article Highlights the Risks of Variable Annuities to Investors
:
Updated:
FINRA Fines LPL Financial Over Alternative Investments
:
Updated:
SEC Investor Bulletin Educates Investors About Impact of Fees on Portfolio Values
:
Updated:
Merrill Lynch Hedge Fund Investors Offered Opportunity To Exit The Endowment Fund With Substantial Losses
:
Updated:
Securities Industry Watchdog Issues Investor Tips For Variable Annuities
:
Updated:
Bond Buyer Magazine Highlights Silver Law Group’s FINRA Arbitration Claims Against UBS For Puerto Rico Investors
:
Updated:
What Solutions Exist for Puerto Rico Investors in Puerto Rico Municipal Bonds After Credit Rating Downgrades For General Obligation Bonds to Junk Status?
:
Updated:
Why Are Financial Advisors Clueless About Risks of Leveraged & Inverse ETFs: The Stifel Nicolaus Story
:
Updated:
Pending Credit Ratings Downgrades on Puerto Rico Municipal Bonds Weigh Heavily On Leveraged UBS Closed-End Bond Funds
:
Updated:
Ponce, Dorado, Bayamon, Arecibo and Mayaguez Investors in UBS Puerto Rico Bond Funds Should Consider Their Investment Recovery Options
:
Updated:
FINRA Investor Alert Warns Against Investing With Borrowed Funds
:
Updated:
UBS Bank Loans Created Unacceptable Risks for Puerto Rico Investors
:
Updated:
Hato Rey, San Juan and Guaynabo Investors in UBS Puerto Rico Bond Funds Should Consider Their Investment Recovery Options
Securities Arbitration Lawyers Blog