A National Securities Arbitration & Investment Fraud Law Firm
Robert H. Keller
CRD#2168444
Silver Law Group is reviewing former Beverly Hills, California-based Morgan Stanley broker Robert H. Keller after he was discharged for trading in low priced securities and inaccurately designating trades as unsolicited.
Donald A. Devito
CRD# 1096364
Silver Law Group is investigating former Albany, New York-based Wells Fargo broker Donald A Devito after multiple FINRA complaints alleging unauthorized trading and unsuitable investment recommendations.
Paul A. Falcon
CRD# 2464566
Silver Law Group is reviewing customer complaints against Boca Raton office of Aegis Capital Corp. broker Paul A. Falcon that alleges he exercised unauthorized trading in client brokerage accounts, provided unsuitable investment recommendations and engaged in excessive trading
Daniel H Morris
(CRD#1046760)
Silver Law Group is reviewing former Connecticut-based Oppenheimer & Co broker Daniel H Morris after a customer filed a $900,000 FINRA arbitration against him.
Shadi T Barakat
CRD#5031281
Silver Law Group is investigating former New York, New York-based AEGIS Capital Corp broker Shadi T. Barakat after multiple clients filed FINRA complaints alleging excessive trading and churning. This complaint was settled in 2015 for $360,000.
A Reuters investigation team published a story earlier this year documenting high-risk brokers and brokerage firms using bulk data it compiled. Silver Law Group continues to investigate claims against these brokerage firms.
FINRA requires brokers to disclose 23 types of incidents that might give investors concern, such as regulatory sanctions, court and arbitration judgments and bankruptcies. FINRA then publishes these disclosures on its BrokerCheck website. Investors can then search the backgrounds of these brokers but cannot examine the data from a big-picture level.
According to the story, Reuters obtained bulk FINRA data from researchers at the Columbia University Law School Datalab and use the information to compile a list of 48 brokerage firms with the highest percentage of incidents.
Binaryoptionfraudattorneys.com
CFTC’s RED List
Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with damages totaling in the millions of dollars in the United States alone. The U.S. Commodity Futures Trading Commission (“CFTC”) has issued a Fraud Advisory concerning Binary Options due to the increased number of victims of these schemes. The CFTC, as part of its efforts to reduce this fraudulent activity, maintains a list of foreign entities that illegally solicit U.S. residents to trade binary options and forex without being registered with the CFTC as required by securities laws. This allows investors to protect themselves against this type of illegal activity.
Binaryoptionlosses.com
Binary Options Fraud
Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with losses totaling in the millions of dollars in the United States alone. The U.S. Commodity Futures Trading Commission (“CFTC”) has issued a Fraud Advisory concerning Binary Options due to the increased number of victims of these schemes. The CFTC is hoping to educate investors in order to prevent them from falling victim to these schemes.
Binaryoptionlossattorneys.com
Binary Options Fraud
Binary Options fraud is on the rise in recent years as regulators and government agencies continue to receive hundreds of complaints with losses totaling in the millions of dollars in the United States alone. The Federal Bureau of Investigation (“FBI”) issued a news release and the staggering damages associated with this type of fraud just keep increasing. The U.S. Securities and Exchange Commission (“SEC”) has also issued an Investor Alert concerning Binary Options and Fraud due to the increased number of victims of these schemes. Along with the FBI, the SEC is hoping to educate investors in order to prevent them from falling victim to these schemes.
Silver Law Group is currently investigating former New York-based Salomon Whitney Financial broker Shawn E. Burns for three pending FINRA arbitrations.
Securities Arbitration Lawyers Blog