A National Securities Arbitration & Investment Fraud Law Firm
Silver Law Group is investigating potential claims related to investments in L Bonds offered by GWG Holdings. The company missed recent key SEC filing deadlines and these investments may be in serious financial trouble. In April 2021, GWG temporarily paused sales of L Bonds. In May 2021, Nasdaq formally notified GWG of its noncompliance with listing rules. Continue reading ›
Silver Law Group represents investors with losses caused by fraud at Miami-area hedge funds.
Hedge funds are investment partnerships that are not as regulated or transparent as other types of investments. Hedge funds can invest in a wide variety of products that other investment vehicles cannot, which can provide very high returns in some cases. Investors may also suffer significant losses in hedge funds, and their minimal transparency can make it difficult for investors to evaluate them. Continue reading ›
Silver Law Group is investigating Rekor Systems, Inc. (REKR) regarding potential claims for investors in the company to recover losses. The investigation concerns potential violations of the federal securities laws.
If you have losses from investing in Rekor Systems, Inc. (“REKR”) contact Silver Law Group for a no-cost consultation at (800) 975-4345 or at ssilver@silverlaw.com. Continue reading ›
According to FINRA Disciplinary actions for May 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Scott Kaufman | Vanguard Marketing Corporation |
| LPL Financial LLC | |
| Thomas Marino | R.M. Stark & Co, Inc |
| J.W. Cole Financial, Inc. | |
| Thomas Rohan | Woodstock Financial Group |
| AXA Advisors, LLC | |
| John Schmidt | Wells Fargo Advisors Financial Network, LLC |
| Stifel, Nicholas, & Company Incorporated | |
| Christopher Wright | LPL Financial LLC |
| Private Advisor Group, LLC |
According to FINRA Disciplinary actions for May 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Samantha Beasley | Wells Fargo Clearing Services, LLC |
| Annie Boghossian | J.P. Morgan Securities LLC |
| Lawrence Ehren | Landolt Securities, Inc. |
| Oberweis Securities, Inc. | |
| Michael Goonan | Equitable Advisors, LLC |
| Park Avenue Securities LLC | |
| Eileen Kenny | LPL Financial LLC |
| Private Advisor Group, LLC | |
| Norma Kuklis | |
| William Kursim | Fidelity Brokerage Services LLC |
| National Financial Services LLC | |
| John Margain | State Farm VP Management Corp. |
| Hector Mejia | ADP Broker-Dealer, Inc. |
| Curtis Smiley | Primex |
| Sandlapper Securities, LLC | |
| Michael Swenson | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| Piper Jaffray & Co. | |
| Joseph Switzer Sr. | Fidelity Brokerage Services LLC |
| Joseph Valenti | Newbridge Securities Corporation |
| Reid & Rudiger LLC |
According to FINRA Disciplinary actions for May 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Ryan Callahan | State Farm VP Management Corp. |
| James Childress | LPL Financial LLC |
| Securities Service Network, Inc. | |
| Nayely Gamez | Wells Fargo Clearing Services, LLC |
| Jorge Guzman | Pruco Securities, LLC |
| Yonay Perez | Wells Fargo Clearing Services, LLC |
| Richard Ramos | Wells Fargo Clearing Services, LLC |
| Dwight Sulc | B.B. Graham & Company, Inc. |
| PFS Investments Inc. |
According to FINRA Disciplinary actions for April 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Tracy Adams | Avantax Investment Services, Inc. |
| Ameriprise Financial Services, Inc. | |
| Jason Anderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| LPL Financial LLC | |
| Solomon Apprey | Pruco Securities, LLC |
| AXA Advisors, LLC | |
| Ronald Bartsch | Union Capital Company |
| Liberty Partners Financial Services, LLC | |
| Spyridon Chandrinos | Millennium Advisors, LLC |
| Nelson Polun | Wells Fargo Clearing Services, LLC |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| Jeffrey Sandwell | LPL Financial LLC |
| National Planning Corporation | |
| Jon Scheier | Edward Jones |
According to FINRA Disciplinary actions for April 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| John Arnold | Voya Financial Advisors, Inc. |
| LPL Financial LLC | |
| Zachary Bader | National Securities Corporation |
| Craig Scott Capital, LLC | |
| Peter Brown | Oppenheimer & Co. Inc. |
| Bear, Stearns & Co. Inc. | |
| Riza Hernandez | Lincoln Financial Securities Corporation |
| Wells Fargo Clearing Services, LLC |
According to FINRA Disciplinary actions for April 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| Adam Belardino | MML Investors Services, LLC |
| MSI Financial Services, Inc. | |
| Trent Drake | Cambridge Investment Research, Inc. |
| Pacer Financial, Inc. | |
| Nathaniel Eklund | J.P. Morgan Securities LLC |
| Geneos Wealth Management, Inc. | |
| Idean Esfahani | Wells Fargo Clearing Services, LLC |
| Adam Feierstein | Proequities, Inc. |
| Woodbury Financial Services, Inc. | |
| Ngonidzashe Parirenyatwa | Wells Fargo Clearing Services, LLC |
| Planco Financial Services, LLC | |
| Laquita Pettis | Wells Fargo Clearing Services, LLC |
| George Stills Jr. | Securian Financial Services, Inc. |
| AXA Advisors, LLC | |
| Tim Viohl | U.S. Bancorp Investments, Inc. |
| LPL Financial LLC |
According to FINRA Disciplinary actions for March 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
| NAME | FORMER EMPLOYERS |
| Christian Evans | Morgan Stanley |
| Highland Capital Funds Distributor, Inc. | |
| Mark Grenier | David Lerner Associates, Inc. |
| Maxim Group LLC | |
| Harry Lum Jr. | Horace Mann Investors, Inc. |
| Allstate Financial Services, LLC | |
| Dorinda Lumpkin | BBVA Securities Inc. |
| Timothy Melvin | Horace Mann Investors, Inc. |
Securities Arbitration Lawyers Blog