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FINRA Suspends Registered Individuals in April 2019 for Failing to Comply with FINRA Rules
25 Apr 2019, 11:56 am by Silver Law Group
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… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Registered Individuals Suspended by FINRA in March 2019 for Failing to Comply with FINRA Rules
19 Apr 2019, 5:39 am by Silver Law Group
According to FINRA Disciplinary actions for March 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   Barrera, Cynthia   Morgan Stanley Smith Barney   Merrill Lynch, Pierce, Fenner & Smith   Beyn, Edward   Rothchild Lieberman LLC   Craig Scott Capital   Blanchard, Keith   Waddell & Reed   Block,… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Texas Man Pleads Guilty In $360M Ponzi Scam | Securities Fraud Attorney
8 Apr 2019, 9:03 am by ccollins
The criminal fraud cases against Ledford and Merrill have not yet gone to trial. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Make It Last – Ep 95 – How Much is Enough?
6 Mar 2019, 9:00 am by Site Admin
How will you know how much you need to retire? [read post]
New Jersey Estate Planning Center Blog - http://www.jerseyestateplanning.com/blog/
Hedge Funds That Own Puerto Rico General Obligation Bonds Continue to Fight for Repayment
5 Mar 2019, 9:32 am by ccollins
Throughout this time, Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) has been hard at work for many investors in helping them fight to recover the losses they sustained because a number of brokerage firms, including UBS-Puerto Rico (UBS-PR), Merrill Lynch, Santander Securities (SAN), Popular Securities, Oriental Securities, the GMS Group, and others, encouraged their brokers to sell these municipal bonds to investors, including small businesses, retirees, and retail… [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Big Banks Are Accused of Rigging Freddie Mac and Fannie Mae Bonds
27 Feb 2019, 7:40 am by ccollins
Contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Investor Fraud: Former MML Investors Broker Who Sold $3.5M of Woodbridge Notes is Barred, Ex-Merrill Lynch Rep Gets 40-Month Prison Term for Defrauding Clients, and Barred UBS Broker is Sentenced in $3.7M Fraud
15 Feb 2019, 11:32 am by ccollins
Ex-Merrill Lynch Broker Will Pay $5M Penalty and Serve Time In Prison A federal judge has sentenced Thomas Buck, an ex-Merrill Lynch broker, to 40 months in prison. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
$18 Billion COFINA Deal to Restructure Puerto Rico Debt Gets Federal Court Approval
14 Feb 2019, 8:33 am by ccollins
Puerto Rico Investor Fraud Lawyers At Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm), our priority continues to revolve around helping investors that lost money in Puerto Rico bonds and closed-end bond funds. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Finra Bars Fired Merrill Lynch Broker Accused of Falsifying Class B Mutual Fund Share Sales Orders
7 Feb 2019, 9:46 am by ccollins
Contact Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
U.S. First Court of Appeals Reverses Lower Court and Rules that Puerto Rico Bondholders Have a Valid Claim on Pension Fund Assets
5 Feb 2019, 5:55 pm by ccollins
Puerto Rico Bond Fraud Lawyers Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) has been hard at work for more than five years in helping investors to recoup losses they have lost from Puerto Rico bonds and closed-end bond funds. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules
30 Jan 2019, 1:06 pm by Silver Law Group
  Pro-Integrity Securities   Evans, Makisha   Feitelnerg, Brendan   United Planners Financial Services   LPL Financial LLC   Jimenez, Mario   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America   Justafort, Frantz   JP Morgan Securities LLC   Chase Investment Services   Maddox, Nicholas   TCFG Wealth Management LLC   US Bancorp Investments   Gustavo Madrigal-Flores   JP Morgan Securities  … [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules
30 Jan 2019, 1:03 pm by Silver Law Group
Edwards & Sons   Uribe, Juan   Wells Fargo Clearing LLC   JP Morgan Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Ex- Financial Adviser Peggy Fulford is Sentenced to 10 Years in Prison for Defrauding Professional Athletes
25 Jan 2019, 9:48 am by ccollins
The former Merrill Lynch broker, Eva Weinberg, and her lover Michael Stern were sentenced to time in prison for the fraud. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds
15 Jan 2019, 10:24 am by ccollins
If you lost money from Puerto Rico bonds or closed-end bond funds sold to you by UBS-Puerto Rico, Oriental Bank, Popular Securities, GMS Securities, Santander Securities (SAN), Merrill Lynch, or another broker-dealer, contact Shepherd, Smith Edwards and Kantas, LLP (SSEK Law Firm) today. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Finra Bars Another Ex-Morgan Stanley Representative, Fines Firm $10M for AML Detection Deficiencies, and Orders It To Pay Two Investors $4.2M For Broker Fraud
10 Jan 2019, 8:47 am by ccollins
According to Levine’s BrokerCheck record, he previously worked with Prudential Securities, Merrill Lynch, and UBS (UBS). [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Puerto Rico’s Fiscal Oversight Board Reportedly Will Pay Advisor Brown Rudnick $790/Hour
7 Jan 2019, 11:35 am by ccollins
Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) has been working with investors in Puerto Rico and on the mainland by helping them to bring their Puerto Rico securities fraud claims in Finra arbitration. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules
18 Dec 2018, 11:03 am by Silver Law Group
  Pro-Integrity Securities, Inc   Makiaha Evans   Brendan Feitelberg   United Planners’ Financial Services of America   LPL Financial LLC   Edgar Guzman-Gonzalez   JP Morgan Securities LLC   Mario Jimenez   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America, N. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Merrill Lynch to Pay $300K to Settle Inadequate Supervision Allegations
14 Dec 2018, 1:13 pm by ccollins
This is where Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) can step in. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
FINRA Suspends Ex-UBS Broker Who is Now With Newbridge Securities
29 Nov 2018, 2:36 pm by ccollins
Broker Fraud Our broker fraud lawyers at Shepherd Smith Edwards and Kantas, LLP, (SSEK Law Firm) work with investors throughout the US. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Investor Fraud: Investment Adviser Pleads Guilty to Retirement Fund Fraud, Stock Research Firm is Sued in Alleged Pump-and-Dump Scam That Targeted Seniors, and A Rabbi is Accused of Running a $35M Ponzi Scam
23 Nov 2018, 4:06 am by ccollins
Cody was previously registered with Salomon Smith Barney and Merrill lynch Pierce, Fenner & Smith Inc. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/