Securities Litigation Updates/News

download (7)Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Scott Allen Sibley, Raymond James, and Moors & Cabot, Inc. According to public records Mr. Sibley was barred from FINRA “for allegedly making unauthorized trades for one customer, making unsuitable recommendations to 10 customers and then creating false records of the trades.”

If you were a client of Scott Allen Sibley and Raymond James or Moors & Cabot, Inc. and lost money in your account, we are interested in discussing a potential claim with you. Brokerage firms like like Raymond James and Moors & Cabot, Inc. have a responsibility to supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Scott Allen Sibley, the brokerage firm (Raymond James or Moors & Cabot, Inc.) may also be liable for investment losses sustained by customers for a failure to supervise.Attorney Sweeney and the other Securities Lawyers at Halling & Cayo have recovered millions of dollars for investors across the country. Reviewing FINRA’s Broker Check, there have been 16 customer complaints against Scott Allen Sibley and his brokerage firms, including Raymond James have paid a total of more than $750,000 to settle those claims.

The market has gained an average of more than 7% returns over the last 5 years and yet some investors, put into overly risking trading strategies, despite promises of guaranteed returns, have lost significant sums. Halling & Cayo S.C. is researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.”
If you were a customer of Scott Allen Sibley and Raymond James or Moors & Cabot, Inc. and suffered investment losses, please contact Attorney Sean M. Sweeney at 414-755-5020 or sms@hallingcayo.com. We only get paid if we recover your money . Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.


Investigation into claims against Scott Allen Sibley and Raymond James

Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Scott Allen Sibley, Raymond James, and Moors & Cabot, Inc. According to public records Mr. Sibley was barred from FINRA “for allegedly making unauthorized trades for one customer, making unsuitable recommendations to 10 customers and then creating false records of the trades.” If you were a […]


Investigating potential claims from customers of Demitrios Hallas

Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Demitrios Hallas. He was registered with PHX Financial, Inc. in 2015, Forefront Capital Markets, LLC in 2014 and 2015, Santander Securities, LLC in 2013 and 2014, and Aegis Capital Corp. in 2012 and 2013. According to public records SEC has accused Hallas of […]


Investigation into Investment Professionals Inc. claims

Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Investment Professionals, Inc. According to public records, including a release from the Secretary of the Commonwealth of Massachusetts dated March 23, 2017, Investment Professionals, Inc, a broker dealer based in San Antonio, Texas was fined $100,000 and had to offer restitution to four […]


Former Cantor Fitzgerald Trader David Demos Indicted For Securities Fraud

The investment fraud attorneys at Halling & Cayo, S.C. are researching potential claims against stockbroker David Demos and his former firm, Cantor Fitzgerald. Federal prosecutors in Connecticut announced last week that Demos is facing charges for defrauding investors on mortgage-backed securities. According to the indictment, between 2011 and 2013, Demos engaged in a scheme of […]


New York Times Highlights Stockbroker Misconduct

In a series of recent articles, the New York Times has focused on stockbroker misconduct. The newspaper has specifically highlighted brokerage firms that “specialize” in employing brokers with disciplinary histories. In an article first published earlier this year, the Times looked at which firms employ the highest percentage of brokers who have at least one […]


Top 10 signs you may have a claim against your broker

For the average investor, it is difficult to know when losses in your account might be recoverable. Here are the top 10 reasons you might have a claim for the losses in your brokerage account: Significant losses in your account that don’t track major market indexes – If you note that the S&P 500 are up […]


Recover Sheaff Brock Investment Losses

The Securities Lawyers at Halling & Cayo are investigating investment losses suffered by customers of Sheaff Brock, an investment advisory firm utilizing TD Ameritrade as its trading platform. Investment advisors like Sheaff Brock have a fiduciary duty to their clients to ensure that each investment decision they make is appropriate for and in the best […]


What to Expect in FINRA arbitration – Choosing a panel

The process of choosing a panel is likely the most important aspect of any claim, and also the area most shrouded in mystery and uncertainty. Each FINRA Arbitration panel is made up of three members, a chair person and two other panel members. Before a rule change in 2011, each panel was made up of […]


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