A National Securities Arbitration & Investment Fraud Law Firm

$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
American Association for Jusice
Florida Legal Elite 2011
Legal Leaders
5th Annual Most Effective Lawyers 2009
Multi-Million Dollar Advocates Forum
Super-Lawyers
SFLG
Top 100
Public Justice

|

Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.

On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. No additional information is available. Continue reading ›

|

Sierra Alexandria Crocker, a previously registered who worked for Voya Financial Partners, was terminated following an arrest, then barred by FINRA.Sierra Alexandria Crocker (CRD #6725624) is a previously registered broker whose last known and only broker employer was Voya Financial Partners, LLC (CRD#:34815) of Jacksonville, FL. She began in the industry in 2016, and no current employment information is available.

Crocker’s employment with Voya was terminated on 03/02/2018 after she was arrested “for a violation of Section 817.034(4)(A)3 of the Florida Statutes for organized fraud.”  According to available arrest information, she was released on a $10,000 bond. Continue reading ›

|

Jonathan Ebel (CRD#: 5902719) is a registered broker currently employed with Laidlaw & Company (UK) LTD. (CRD#:119037) of Melville, NY. He was previously employed with Rockwell Global Capital LLC (CRD#:142485) and Ekn Financial Services Inc. (CRD#:113525), also of Melville. He has been in the industry since 2011. Ebel is currently employed by Network 1 Financial.Ebel has one customer dispute, filed on 5/22/2018, alleging “excessive and unsuitable trading from 2016-2018.”  The client requested damages of $71,000, and the claim was settled for $30,000. Ebel denies the claim.Jonathan Ebel (CRD#: 5902719) is a registered broker currently employed with Laidlaw & Company (UK) LTD. (CRD#:119037) of Melville, NY. He was previously employed with Rockwell Global Capital LLC (CRD#:142485) and Ekn Financial Services Inc. (CRD#:113525), also of Melville. He has been in the industry since 2011. Ebel is currently employed by Network 1 Financial.

Ebel has one customer dispute, filed on 5/22/2018, alleging “excessive and unsuitable trading from 2016-2018.”  The client requested damages of $71,000, and the claim was settled for $30,000. Ebel denies the claim. Continue reading ›

|

Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm.Francisco Javier Valenzuela (CRD#: 2786970) is a previously registered broker and investment advisor whose last employer was Morgan Stanley (CRD#:149777) of Tucscon, AZ. His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. (CRD#:25574) of Nogales, AZ, and Banc One Securities Corporation (CRD#:16999) of Chicago, IL. No current employment information is available. He has been in the industry since 1996.

Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm. Continue reading ›

|

Dr. Philip Frost, CEO and chairman of Opko Health, has agreed to a proposed settlement with the SEC in a microcap stock manipulation scheme.Back in October, we told you about charges filed by the SEC against Florida businessman Barry Honig in a microcap stock manipulation scheme that netted Honig and his associates $27 million in fraudulent funds.

One of those associates, Dr. Philip Frost, has agreed to a proposed settlement with the SEC in this case. Frost is a biotech billionaire who is CEO and chairman of Opko Health and former chairman of Teva Pharmaceutical Industries Ltd. He was among ten people and ten entities charged in September in relation to the “pump-and-dump” stock scheme. Continue reading ›

|

On November 2, 2018, the FTC put out a press release regarding Simple Health Plans LLC, which announced that, at its request “a federal judge temporarily shut down a Florida-based operation that allegedly collected more than $100 million by preying on Americans in search of health insurance, selling these consumers worthless plans that left tens of thousands of people uninsured.”A complaint filed in federal court against Simple Health and its owner alleged that they falsely led people to believe they were buying comprehensive health insurance, when they were really buying medical discount and limited benefit plans that didn’t qualify as health insurance and didn’t deliver the benefits promised.On November 2, 2018, the FTC put out a press release regarding Simple Health Plans LLC, which announced that, at its request “a federal judge temporarily shut down a Florida-based operation that allegedly collected more than $100 million by preying on Americans in search of health insurance, selling these consumers worthless plans that left tens of thousands of people uninsured.”

A complaint filed in federal court against Simple Health and its owner alleged that they falsely led people to believe they were buying comprehensive health insurance, when they were really buying medical discount and limited benefit plans that didn’t qualify as health insurance and didn’t deliver the benefits promised. Continue reading ›

|

A class action lawsuit has been filed on behalf of investors against Health Insurance Innovations, Inc. (HIIQ), a distributor of health insurance plans. The lawsuit concerns potential violations of state and federal laws by the company and its officers. If you are an investor and have suffered a loss with this company, you may be able to recover some of your losses.A class action lawsuit has been filed on behalf of investors against Health Insurance Innovations, Inc. (HIIQ), a distributor of health insurance plans. The lawsuit concerns potential violations of state and federal laws by the company and its officers.

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 ›

|

Silver Law Group has filed the first arbitration claim against SagePoint Financial related to GPB Capital investments. The claim, filed on behalf of a client who invested in GPB’s automotive fund, is for $400,000.GPB is under investigation by federal and state agencies, and is accused of being a Ponzi scheme. In December 2018 they stopped paying investors, the value of their private placement investments has gone down, and the future of the company is uncertain.Silver Law Group has filed the first arbitration claim against SagePoint Financial related to GPB Capital investments. The claim, filed on behalf of a client who invested in GPB’s automotive fund, is for $400,000.

GPB is under investigation by federal and state agencies, and is accused of being a Ponzi scheme. In December 2018 they stopped paying investors, the value of their private placement investments has gone down, and the future of the company is uncertain. Continue reading ›

|

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 ›

|

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 ›
Contact Information
Main Office
11780 W Sample Rd
Coral Springs, FL 33065
Phone: (954) 755-4799Fax: (954) 755-4684
New York Office
229 W 36th St 8th Floor
New York, NY 10018
Phone: (212) 377-5227
Florida Office
4755 Technology Way #205
Boca Raton, FL 33431
Phone: (561) 665-8613
ATTORNEY ADVERTISING

Visit our Florida Securities Whistleblower Website

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas–Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2024, Silver Law Group
JUSTIA Law Firm Blog Design