Silver Law Group | Securities Arbitration Lawyers Blog
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Our FINRA arbitration lawyers work with investors to recover losses caused by securities fraud, investment fraud, and other kinds of stockbroker misconduct. Scott L. Silver is the managing partner of Silver Law Group, a nationally recognized law firm representing investors worldwide to recover their investment losses. Scott has spent his entire legal career practicing securities and financial..
Silver Law Group | Securities Arbitration Lawyers Blog
1d ago
Silver Law Group is investigating claims on behalf of stockholders who lost 95% of the principal they invested in funds offered by Hatteras Investment Partners LP after Hatteras sold their funds to The Beneficient Company in 2021.
Beneficient is tied to GWG, which declared bankruptcy in 2022 after suffering catastrophic losses for investors. A recent lawsuit against certain Beneficient Officers and/or Directors has revealed substantial allegations of misconduct and fraud throughout the companies.
According to Hatteras SEC filings, on December 7, 2021, the Hatteras Maste ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1w ago
According to FINRA Disciplinary actions for April 2024, 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
James Brown
American Independent Securities Group, LLC
Edward Jones
Victor Droubie jr.
LPL Financial LLC
Wells Fargo Clearing S ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1w ago
According to FINRA Disciplinary actions for April 2024, 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
Vinessa Christian
UBS Financial Services Inc.
RBC Dain Rauscher Inc.
Cody Coffey
Allstate Financial Services, LLC
Denzel Coleman
J.P. Morgan Securities LLC
Wells Fargo Clearing Services, LLC
John Kersey
Northwestern Mutual Investment Services, LLC
Robert W. Baird & Co. Inc ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1w ago
According to FINRA Disciplinary actions for March 2024, 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
Gabriela Alfaro
Charles Schwab & Co., Inc.
Michael Capolongo
Network 1 Financial Securities Inc.
Worden Capital Management LLC
Stalin Cruz
SW Financial
Windsor Street Capital, L.P.
Michael Fasciglione
Aegis Capital Corp.
National Securities Corporation
Isaiah Frection
NY ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1w ago
According to FINRA Disciplinary actions for March 2024, 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
Kwame Adusei
Morgan Stanley
J.P. Morgan Securities LLC
Brittany Anderson
Gianluca De Berardinis
Morgan Stanley
Quad Capital ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1w ago
According to FINRA Disciplinary actions for March 2024, 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
Timothy Breslin
B. Riley Wealth Management
Raymond James & Associates, Inc.
Robin Johnson aka Robin Runco
CFD Investments, Inc.
J.W. Cole Financial, Inc.
Jason Kurtz
U.S. Bancorp Investments, Inc.
Edward Jones
Leslie Markus Jr.
Lincoln Investment
Ameriprise Financial Services, Inc.
David Morris
Stifel, Nicolaus & Company
UBS Financial ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
3w ago
Minnesota-based broker-dealer Principal Securities has been sued by a local nonprofit over allegations of churning in variable annuities by one of its former registered representatives. The company disclosed this information in its recently filed annual focus report with the SEC. Principal Securities is also the subject of a separate FINRA arbitration claim based on the actions of the same representative.
The plaintiff in this case is the Legacy of Angels Foundation, a 501 (c)(3) nonprofit and private family foundation with the mission, “To improve the lives of children by working to promote t ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1M ago
Silver Law Group founder Scott Silver has weighed in on the move by many CrowdStreet investors who lost money in a failed Nightingale properties purchase. While he is not involved in the bankruptcy or litigation, Scott has paid close attention to the case. He is also a co-chair of the nonprofit American Association for Justice’s Securities and Financial Fraud Litigation Group.
Several investors have filed a request for a FINRA arbitration related to a $1.5 million misappropriation of funds that were not put in escrow, but given directly to Nightingale CEO Elie Schwartz. He has made one payment ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
1M ago
John Kersey (John Jay Kersey CRD# 1480524) is a former broker and investment advisor last employed with Northwestern Mutual Investment Services, LLC (CRD# 2881) of Cincinnati, OH. His previous employers include Northwestern Mutual Investment Services, LLC (CRD# 2881) of Milwaukee, WI, Walnut Street Securities, Inc. (CRD# 15840) of El Segundo, CA, and WMA Securities, Inc. (CRD# 32625) of Duluth, GA. He has been in the industry since 1986.
Northwestern allowed Kersey to resign following allegations that he accepted money from a customer intended for investment. Instead, Kersey deposited th ..read more
Silver Law Group | Securities Arbitration Lawyers Blog
3M ago
Garrett Moretz (Garret Wayne Moretz CRD# 4086791) is a broker and investment advisor currently registered with Lifemark Securities Corp. (CRD# 16204) of Mooresville, NC. His previous employers include First Heartland Consultants, Inc. (CRD# 110377) and First Heartland Capital, Inc. (CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. (CRD# 141047) of Miami, FL. He has been in the industry since 2000.
The US Securities & Exchange Commission (SEC) is currently investigating Moretz following allegations of “certain provisions of federal securities laws,” including Section ..read more