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$70 MILLION Recovery for Investment Fraud
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$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
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UBS has marketed a so-called “Yield Enhancement Strategy” (YES) to certain of its clients as a safe way to increase the return on their money. Unfortunately, though marketed as low-risk, their Yield Enhancement Strategy was quite risky and ended up causing some investors to lose money. What was supposed to increase wealth ended up destroying it. Investors may have been steered into this strategy without understanding the risks involved, and could be eligible to recover some of their losses through FINRA arbitration.UBS has marketed a so-called “Yield Enhancement Strategy” (YES) to certain of its clients as a safe way to increase the return on their money. Unfortunately, though marketed as low-risk, their Yield Enhancement Strategy was quite risky and ended up causing some investors to lose money. What was supposed to increase wealth ended up destroying it.

Investors may have been steered into this strategy without understanding the risks involved, and could be eligible to recover some of their losses through FINRA arbitration. Continue reading ›

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Tomatoes1-300x200Village Farms International, Inc. (VFF), a publicly-traded vertically-integrated greenhouse grower of produce and cannabis, is being investigated by Silver Law Group concerning potential securities laws violations as well as violations by the selling stockbrokers.

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.

Already publicly-traded in Canada, Village Farms started trading on the Nasdaq under the symbol “VFF” in February, 2019.

Continue reading ›

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Apyx Medical Corporation (APYX), a publicly-traded company that manufactures and sells medical devices, is the subject of a class action lawsuit that has been filed on behalf of shareholders who lost money investing in the company. Investors who bought shares of Apyx between August 1, 2018 and April 1, 2019 may be eligible to join the lawsuit.Apyx Medical Corporation (APYX), a publicly-traded company that manufactures and sells medical devices, is the subject of a class action lawsuit that has been filed on behalf of shareholders who lost money investing in the company.

Investors who bought shares of Apyx between August 1, 2018 and April 1, 2019 may be eligible to join the lawsuit.

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.

Continue reading ›

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Silver Law Group is investigating Level Brands, Inc. (LEVB), a publicly-traded company that produces CBD (cannabidiol) products under the cbdMD brand, on behalf of investors concerning whether the company and its officers or directors may have violated federal securities laws, as well as violations by the selling stockbrokers.Silver Law Group is investigating Level Brands, Inc. (LEVB), a publicly-traded company that produces CBD (cannabidiol) products under the cbdMD brand, on behalf of investors concerning whether the company and its officers or directors may have violated federal securities laws, as well as violations by the selling stockbrokers.

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses. Continue reading ›

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A federal securities class action lawsuit has been filed on behalf of investors against cloud computing company Fusion Connect, Inc. (FSNN). If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.A federal securities class action lawsuit has been filed on behalf of investors against cloud computing company Fusion Connect, Inc. (FSNN).

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.

Investors who purchased shares of Fusion Connect between August 14, 2018 and April 2, 2019 may be eligible to participate in the lawsuit. Continue reading ›

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Silver Law Group is investigating AAC Holdings, Inc. (AAC), a publicly-traded company that provides substance abuse treatment services, regarding potential violations of federal securities laws.Silver Law Group is investigating AAC Holdings, Inc. (AAC), a publicly-traded company that provides substance abuse treatment services, regarding potential violations of federal securities laws.

On April 16, 2019, AAC said that it would be correcting errors in its financial statements concerning revenue, estimates of accounts receivable, and provision for doubtful accounts. After the announcement, the price of AAC’s stock fell more than 18%. Continue reading ›

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According to FINRA Disciplinary actions for April 2019, 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
  Austin, Phillip   JP Morgan Securities
  Chase Investment Services
  Bishop, Tywan   Charles Schwab & Co
  E Trade Securities
   Delaney, Glen   Newbridge Securities
  Craig Scott Capital
  Erhart, Peter   Ameriprise Financial Services
  IDS Life Insurance Company
  Hafen, Herbert   Wells Fargo Clearing Services
  Morgan Stanley
  Anubhavm Jain   Goldman Sachs & Co
  Deutsche Bank Securities, Inc
  O’Neal, Tristan   Northwestern Mutual Investment Services
  Owen, Steven   PFS Investments Inc
  Ameriprise Financial Services
  Pico, Marc   LPL Financial LLC
  MML Investors Services
  Renison, Thomas   Horace Mann Investors, Inc
  Northwestern Mutual Investment Services
  Smith, Michael   Farmers Financial Solutions, LLC
  Trotter, Aaron   JP Morgan Securities LLC

FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers.  If you invested with anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

 

 

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According to FINRA Disciplinary actions for April 2019, 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:

NAME

FORMER EMPLOYERS
  Acca, Lisa   Arive Capital Markets
  Global Arena Capital Corp
  Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America
  Bougopoulos, Nicholas   Wells Fargo Securities, LLC
  Stifel Financial Corp
  Cardwell, Harlan   Prospera Financial Services
  Oxford Financial Group
  Cash, Robert   JP Morgan Securities LLC
  Golan, Rafael   Crystal Bay Securities
  Independent Financial Group, LLC
  Gomez, Edwin   PFS Investments Inc
  Primerica Financial Services
  Irazarry, Melissa   LPL Financial LLC
  Invest Financial Corporation
  Knowles, Jeffrey   LPL Financial LLC
  Ameriprise Financial Services
  LaMarca, Charles   Benjamin & Jerold Brokerage I, LLC
  Meridian Equity Partners, Inc
  Lastrapes, Lisa   Merrill Lynch, Pierce, Fenner & Smith Inc
  USAA Financial Advisors, Inc
  Laveck, David   MML Investors Services, LLC
  MSI Financial Services
  Lee, Kevin   JP Morgan Securities
  AXA Advisors, LLC
  William Maurer   Voya Financial Partners
  Nye, Jason   The O.N. Equity Sales Company
  UBS Painewebber Inc
  Sercia, Anthony   Traderfield Securities Inc
  Legend Securities
  Soto, Rani   Prudential Investment Management
  AllianceBernstein Investments
  Stanley, Cornell Jr.   Merrill Lynch, Pierce, Fenner & Smith Inc
  Bank of America, N.A.
  Tarica, Perry Jr.   Wells Fargo Clearing Services, LLC
  A. G. Edwards & Sons, Inc
  Torres, John   JP Morgan Securities

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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According to FINRA Disciplinary actions for April 2019, 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
  Boj, Pedro   UBS Financial Services Inc
  BBVA Securities of PR
  Brooks, Carter   Wells Fargo Clearing Services LLC
  Edward Jones
  Lofaro, Patrick   Rockwell Global Capital LLC
  Dalton Strategic Investment Services
  Muniz, George   Legend Securities, Inc
  Meridian Equity Partners, Inc
  Norton, Robert   Wells Fargo Advisors Financial Network, LLC
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Walsworth, Peter   Morgan Stanley
  Merrill Lynch, Pierce, Fenner & Smith Inc

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received.

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KushCo Holdings Inc. (KSHB), a publicly-traded company that sells a variety of cannabis-related products, is being investigated by Silver Law Group on behalf investors concerning whether the company and its officers or directors may have violated federal securities laws as well as violations by the selling stockbrokers.KushCo Holdings Inc. (KSHB), a publicly-traded company that sells a variety of cannabis-related products, is being investigated by Silver Law Group on behalf investors concerning whether the company and its officers or directors may have violated federal securities laws as well as violations by the selling stockbrokers.

If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses. Continue reading ›

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