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$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
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$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
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Alan Feigenbaum (Alan Scot Feigenbaum, CRD# 3132230) is a previously registered broker and investment advisor whose last known employer was Newbridge Securities Corporation (CRD#:104065) of Boynton Beach, FL. His previous employers were National Securities Corporation (CRD#:7569) and Prime Capital Services, Inc. (CRD#:18334), also of Boynton Beach. He has been in the industry since 1999. While employed at National Securities, the firm allowed Feigenbaum to resign on his own. Allegations surfaced that he misused the firm's trading platform to execute trades and client accounts without their written permission nor the firm’s. The reason given on his Form U5 termination form was, “Improper use of the Firm's trading platform to execute trades in client accounts.” Feigenbaum was then employed with Newbridge Securities Corporation. He continued to enter orders on a discretionary basis for 2,000 trades in 120 customer accounts. Some of these customers were senior citizens. The customers had permitted Feigenbaum to exercise discretion, but none had given him written authorization. Neither National nor Newbridge approved these accounts as discretionary. However, there were no complaints from the customers. Feigenbaum continued to exercise discretion without authorization even after receiving a written letter of caution from his supervisor at National for similar activity in September of 2015.Alan Feigenbaum (Alan Scot Feigenbaum, CRD# 3132230) is a previously registered broker and investment advisor whose last known employer was Newbridge Securities Corporation (CRD#:104065) of Boynton Beach, FL. His previous employers were National Securities Corporation (CRD#:7569) and Prime Capital Services, Inc. (CRD#:18334), also of Boynton Beach. He has been in the industry since 1999. Continue reading ›

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Las Vegas attorney Matthew Beasley was shot by FBI Special Agents who went to his house to interview him regarding his alleged involvement in a $300 million Ponzi scheme. Though shot in the chest and shoulder, Beasley refused to surrender and repeatedly confessed to his involvement in the scheme, Assistant U.S. Attorney Tony Lopez of the District of Nevada said in court. 49-year-old Matthew Wade Beasley was arrested and charged with assaulting a federal officer with a deadly weapon. Beasley made an initial appearance in federal court on March 8, 2022. Allegations in the criminal complaint state that FBI Special Agents went to a home in Las Vegas on March 3, 2022 to interview Beasley for an ongoing investigation. According to a press release from the Department of Justice “When agents knocked on the glass front doors, Beasley appeared with part of his body obscured. After an agent pulled back his suit jacket to show his FBI badge, Beasley then stepped into complete view with a gun pointed at his own head. When agents instructed Beasley to drop the gun, Beasley instead pointed it at the agents in a sweeping motion — causing one or more agents to discharge their firearm and striking Beasley.” An FBI SWAT team “had to forcefully enter the home and bring him out,” Lopez said. Beasley was released from the hospital. His lawyer sought house arrest, but a judge ordered Beasley detained without bond because Lopez said Beasley was a flight risk with significant assets including at least four homes, luxury cars, and an RV.Las Vegas attorney Matthew Beasley was shot by FBI Special Agents who went to his house to interview him regarding his alleged involvement in a $300 million Ponzi scheme.

Though shot in the chest and shoulder, Beasley refused to surrender and repeatedly confessed to his involvement in the scheme, Assistant U.S. Attorney Tony Lopez of the District of Nevada said in court. Continue reading ›

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What would you do if your broker decided to move to a new firm? Would you follow them? What if you’re a broker who wants to change firms for good cause? Silver Law Group represents investors and individual financial advisors in claims against brokerage firms for misconduct relating to failure to properly disclose the reasons for a brokers termination, claims of harassment or misconduct by the brokerage against the financial advisor and investors who have been harmed when brokerage firms fail to advise the client that a broker has been terminated for cause or damage to investor’s portfolio.What would you do if your broker decided to move to a new firm? Would you follow them?

What if you’re a broker who wants to change firms for good cause?

Silver Law Group represents investors and individual financial advisors in claims against brokerage firms for misconduct relating to failure to properly disclose the reasons for a brokers termination, claims of harassment or misconduct by the brokerage against the financial advisor and investors who have been harmed when brokerage firms fail to advise the client that a broker has been terminated for cause or damage to investor’s portfolio. Continue reading ›

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Dana Vietor (Dana Bruce Vietor CRD# 873129) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon Partners, Inc. (CRD#:46227, expelled by FINRA in 2013) of Independence, Iowa.  He has been in the industry since 1981. FINRA began an investigation into Vietor’s records, discovering that he engaged in the sale of promissory notes that were called “deposit agreements.” According to the allegations, these agreements totaled over $3 million. However, Vietor failed to disclose this information to the investors. He also did not receive written approval from his member firm for these private security transactions. According to FINRA’s investigation findings, Vietor, along with his other business partners, engaged in a startup business venture in need of funding. These deposit agreements raised the needed capital for these entities associated with the startup. Because Vietor is part of the management team for these entities, and he has membership interests in each one, Vietor also received indirect selling compensation while involved in these private transactions.Dana Vietor (Dana Bruce Vietor CRD# 873129) is a previously registered broker whose last known employer was CFD Investments, Inc. (CRD#:25427) of Dallas, TX. His previous employers include Oakbridge Financial Services (CRD#:16323, expelled by FINRA in 2016) of Nisswa, MN, Cape Securities Inc. (CRD#:7072) of Irving, TX, and Allied Beacon Partners, Inc. (CRD#:46227, expelled by FINRA in 2013) of Independence, Iowa.  He has been in the industry since 1981. Continue reading ›

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Silver Law Group and co-counsel have filed a class action lawsuit against GWG Holdings (GWGH) and several of its principals on behalf of investors who purchased L Bonds from the company. The complaint alleges violations of the federal securities laws. Silver Law Group may be able to help you recover your GWG L Bonds investment losses. Contact us at 800-975-4345 for a no-cost consultation. Multiple serious issues with GWG have caused investors in L Bonds to become concerned that they may lose a significant amount of their principal. Already under investigation by the SEC and behind on financial reporting, in January, 2022 the Dallas, Texas-based financial services company announced in a form 8-K filed with the SEC that it would not pay investors dividends owed for January. The 8-K also stated that GWG’s board of directors authorized management to hire a restructuring advisor, and its independent public accounting firm did not stand for reappointment. The price of a share of GWG’s stock started 2022 at $9.60 and has since dropped to as low as $2.36.Silver Law Group and co-counsel have filed a class action lawsuit against GWG Holdings (GWGH) and several of its principals on behalf of investors who purchased L Bonds from the company. The complaint alleges violations of the federal securities laws.

Silver Law Group may be able to help you recover your GWG L Bonds investment losses. Contact us at 800-975-4345 for a no-cost consultation. Continue reading ›

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SFLG-LogoSilver Law Group has again been named a “Top Law Firm” by the South Florida Legal Guide (SFLG). The SFLG is a leading guide to the best attorneys and law firms in the South Florida region, and Silver Law Group’s recognition in the 2021 edition follows the same recognition in the publication’s 2020 edition. Continue reading ›

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Through a press release, the Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action against five individuals and five companies with misappropriation and violations of registration in connection with a scheme involving foreign currency exchanges (“forex”.) The CFCT filed the complaint in the U.S. District Court for the Southern District of Florida on January 28, 2022.Through a press release, the Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action against five individuals and five companies with misappropriation and violations of registration in connection with a scheme involving foreign currency exchanges (“forex”.) The CFCT filed the complaint in the U.S. District Court for the Southern District of Florida on January 28, 2022. Continue reading ›

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So-called “romance scams” proliferate, with both women and men being taken for millions of dollars every year. The Commodity Futures Trading Commission (CFTC) has issued a press release on the topic of romance scams that cultivate a “relationship” and then move in the direction of investing in a “great opportunity” as part of a “couple.” With two out of five couples meeting online, people of all ages are more than likely in a relationship with someone they met through an app, on social media, or somewhere else in cyberspace. While online dating has increased the pool of available singles, it’s not without problems. People interested in a relationship only touch a button or swipe to see multiple options for your next date. But it’s precisely that ease that makes online dating dangerous and expensive. In romance scams, where someone befriends another to convince them to send money. Anyone of any age can find themselves in this situation, especially if they are comfortable using dating apps. So-called “romance scams” proliferate, with both women and men being taken for millions of dollars every year. The Commodity Futures Trading Commission (CFTC) has issued a press release on the topic of romance scams that cultivate a “relationship” and then move in the direction of investing in a “great opportunity” as part of a “couple.” Continue reading ›

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In this blog, we frequently discuss investors who, through no fault of their own, have lost money to unscrupulous brokers and investment advisors who mislead or defraud their clients. When an investor can't work things out with their registered representative, the next step is frequently arbitration with the Financial Industry Regulatory Authority, or FINRA. As a not-for-profit, non-governmental organization, FINRA is responsible for the licensing and regulation of broker-dealers. FINRA is the largest self-regulatory organization (SRO) in the securities industry within the U.S. The agency also has one of the largest forums for dispute resolution in the country. With 3,000 employees through 16 offices throughout the US, FINRA governs 3,700 brokerages and 630,000 registered representatives. FINRA is separate from the Securities and Exchange Commission, or SEC. Securities Arbitration Arbitration through FINRA requires the selection of neutral arbitrators through FINRA's Dispute Resolution Services. One to three neutral third parties are brought in to hear both sides of the case and make a decision that is binding for both parties. The process is designed so that both parties’ concerns are heard, and that the decision is fair.In this blog, we frequently discuss investors who, through no fault of their own, have lost money to unscrupulous brokers and investment advisors who mislead or defraud their clients. When an investor can’t work things out with their registered representative, the next step is frequently arbitration with the Financial Industry Regulatory Authority, or FINRA. As a not-for-profit, non-governmental organization, FINRA is responsible for the licensing and regulation of broker-dealers. Continue reading ›

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GWG Holdings is trying to avoid bankruptcy by looking for emergency financing following the resignation of its auditor, accounting problems, and missed debt payments to L Bond investors, according to an article in the Wall Street Journal. Silver Law Group currently represents GWG L Bonds investors, and may be able to help you recover your L Bonds losses. Please contact us at 800-975-4345 for a no-cost, confidential consultation. GWG L Bonds GWG Holdings (GWGH) is a Dallas, Texas-based financial services company that offers life insurance and alternative investments. In 2021, GWG missed financial reporting deadlines, which caused NASDAQ to threaten to delist the company. The SEC is investigating GWG Holdings.GWG Holdings is trying to avoid bankruptcy by looking for emergency financing following the resignation of its auditor, accounting problems, and missed debt payments to L Bond investors, according to an article in the Wall Street Journal.

Silver Law Group currently represents GWG L Bonds investors, and may be able to help you recover your L Bonds losses. Please contact us at 800-975-4345 for a no-cost, confidential consultation. Continue reading ›

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