A National Securities Arbitration & Investment Fraud Law Firm
Jack F. Bruscianelli
CRD#2113986
Silver Law Group is looking into Chicago, Illinois-based National Securities Corp. broker Jack F. Bruscianelli after a FINRA complaint was brought against him alleging unsuitable investments in private placements.
Bao Quoc Vu
CRD# 5090067
Silver Law Group is looking into former TD Ameritrade broker Bao Quoc Vu after a FINRA complaint alleging unsuitable investment recommendations related to Aequitas promissory notes was filed against him.
William J. Paynter
CRD# 2835535
Silver Law Group is reviewing Scottsdale, Arizona-based Wells Fargo broker William J Paynter after a customer filed a FINRA complaint alleging unsuitable investments.
Mark J. Flanagan
CRD#1949836
Silver Law Group is investigating former Highland Park, Illinois-based Citigroup Global Markets broker Mark J. Flanagan after he failed to respond to an official request for information and was temporarily suspended by FINRA.
Ross A Stein
CRD# 19616
Silver Law Group is investigating New York-based Wells Fargo broker Ross A Stein after a customer filed a complaint against him related to the purchase of Puerto Rico municipal bonds.
Mark F. Augusta
CRD# 1333913
Silver Law Group is investigating potential customer complaints against Del Mar, California-based Hilltop Securities Inc. broker Mark F Augusta after a former client was issued a large monetary award settlement.
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.
Silver Law Group is investigating former Melbourne, FL-Morgan Stanley (CRD#149777) broker Anthony J. Verzi (CRD# 1186572) after FINRA permanently barred Verzi for refusing to appear for an on the record testimony related to an investigation into unsuitable trading.
According to Verzi’s FINRA BrokerCheck report, a customer filed a FINRA arbitration in December 2016 alleging unsuitable unit investment trusts who’s only purpose was to generate commissions for the broker. This complaint led to a FINRA investigation in which he failed to appear for on-the-record testimony, at which time FINRA permanently barred him.
Morgan Stanley (CRD#149777) employed Verzi as a broker dealer from June 2009 until August 2016. Verzi operated out of Morgan Stanley’s Melbourne, Florida branch.
Securities Arbitration Lawyers Blog