A National Securities Arbitration & Investment Fraud Law Firm
CRD#2360548
Silver Law Group is investigating former Pittsburgh, PA-based PWA Securities broker John Schneider following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations.
CRD#855618
Silver Law Group is investigating former Midvale, Utah based Ameriprise Financial Services, Inc broker Kim D. Isaacson after FINRA received a complaint of fraudulent misrepresentation, omission of material facts and unauthorized trading
CRD#4506010
Silver Law Group is investigating Former Lynnbrook, New York-based Network 1 Financial Services broker Englebert Sarmiento following multiple customer complaints alleging unauthorized investment activity and unsuitable investment recommendations.
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
Silver Law Group is analyzing claims of unauthorized trading and unsuitable investments by former Delray Beach, Florida based Cetera Advisors LLC (CRD#10299) broker Christopher R. Hickman (CRD# 3267599). The complaints allege that Hickman recommended unsuitable trades and investments and carried out unauthorized trades over the course of many years.
According to Hickman’s FINRA BrokerCheck report, FINRA suspended and fined Hickman in July 2017 for five months and fined him $5,000. On multiple occasions throughout his career, clients have alleged losses to due to unauthorized trading and unsuitability. The earliest FINRA reported incident was in November of 2007 up until the most recent event in July of 2017.
Hickman was employed and registered by Cetera Advisors LLC from September of 2009 until July of 2015. Previously he was employed by Banc Of America Investment Services (CRD#16361) from 2006 to 2009.
Silver Law Group is investigating former New York, New York-based broker William V. Siegel (CRD# 4407213) after FINRA permanently barred Siegel from selling securities to the public.
According to Siegel’s FINRA BrokerCheck report, the Financial Industry Regulatory Authority (“FINRA”) suspended Siegel in April 2016 after he failed to comply with an arbitration award or settlement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance with either.
FINRA suspended Siegel despite permanently barring him in October 2015 for failing to respond to a FINRA request for information.
Silver Law Group is investigating former Coral Gables, Florida broker James P. Scullin (CRD# 1577362) for unauthorized trading in customer accounts among other allegations.
According to Scullin’s FINRA BrokerCheck report, UBS Financial Services Inc. (CRD# 8174) terminated Scullin when UBS learned that he actively traded in an undisclosed commodities account outside UBS, exercised discretion without written authorization in violation of firm policy, and entered an unauthorized trade.
According to an Acceptance, Waiver & Consent (“AWC”) entered into between FINRA and Scullin in May 2016, FINRA found that Scullin placed a trade of over $5 million without informing the individuals with authority over the account. Further, when one of the individuals questioned the unauthorized trade, Scullin concealed the trade.
Our firm has filed a complaint against Irvine, California-based Cetera Advisors (CRD# 10299) relating to broker Daniel B. Vazquez Sr. (CRD# 3141463) after FINRA permanently barred Vazquez.
According to Vazquez’s FINRA BrokerCheck report, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public in June 2016 for failing to respond to a FINRA request for information.
The permanent bar comes just two months after a FINRA arbitration was filed alleging unsuitable recommendations and unauthorized trades which led to portfolio losses.
Silver Law Group is investigating former Ameriprise Financial Services, Inc. (CRD# 6363) broker Brian T. Perry (CRD# 2874937) after FINRA permanently barred him.
According to Perry’s FINRA BrokerCheck report, FINRA permanently barred Perry in December 2016 from acting as a broker or otherwise associating with firms that sell securities to the public. FINRA barred Perry because he failed to respond to a FINRA inquiry.
Perry’s permanent bar follows a customer complaint in October 2016 alleging Perry made unauthorized trades, failed to follow transaction instructions, and provided poor service which resulted in losses. The claim, according to the BrokerCheck report, was denied.
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