Leon P. Rehak CRD#2331058 Silver Law Group is investigating Pompano Beach, Florida-based LPL Financial broker Leon Rehak, after multiple customer allegations of misrepresentation and unsuitable recommendations were received by FINRA. According to FINRA’s BrokerCheck report on Rehak, a complaint was filed in October of 2017 alleging that during his time…
Angela M. Graham West CRD#3004083 Silver Law Group is investigating Fort Lauderdale, Florida-based Oppenheimer & Co broker Angela West following a customer complaint alleging excessive investment activity, unsuitable investment recommendations and breach of fiduciary duty. According to FINRA’s BrokerCheck report on West, a complaint was received in October of 2017…
William C. Gennity CRD#4913490 Silver Law Group is investigating Staten Island, New York-based First Standard Financial Company broker Willam Gennity following a customer complaint alleging unauthorized investment activity, unsuitable investment recommendations and breach of fiduciary duty. According to FINRA’s BrokerCheck report on Gennity, a complaint was received in August of…
Timothy D. Ballard CRD#1073181 Silver Law Group is investigating former Livermore, California-based Securities America broker Timothy D. Ballard after FINRA indefinitely suspended him following his failure to respond to a FINRA request for information. According to FINRA’s BrokerCheck report on Ballard, a complaint alleging unsuitable investment recommendations and lack of…
Matthew D. Webster CRD#4913490 Silver Law Group is investigating Former Syracuse, New York-based Wells Fargo broker Matthew Webster following a customer complaint alleging unauthorized investment activity and unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Webster, a complaint was received in October of 2016 alleging that Webster executed unauthorized…
Silver Law Group won an award against former FINRA-registered broker Curtis D. Milakovich for unsuitable recommendations, churning, and acting as an unregistered investment advisor. FINRA Renders Award Through Arbitration On December 22, 2017, a FINRA arbitration panel awarded Silver Law Group’s clients $164,000 in compensatory damages after the arbitration panel…
Silver Law Group is investigating Melville, New York-based SW Financial (CRD# 145012) broker James W. Flower (CRD# 2817701) after FINRA suspended him. FINRA Suspends Flower According to Flower’s FINRA BrokerCheck report, FINRA barred Flower after the regulatory organization found that Flower unsuitably recommended an exchange-traded note (“ETN”). According to the…