Securities Fraud

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 […]


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 […]


Mark P. Welhouse and Welhouse & Associates, Inc. investigated by SEC

Halling & Cayo S.C. is researching potential claims for recovery of investment losses for investors with Mark P. Welhouse and Welhouse & Associates as a result of losses suffered relating to “SPY” options trading and allegations of misconduct by the Securities and Exchange Commission. Attorney Sean M. Sweeney is a member of the Public Investors Arbitration […]


B.C. Ziegler Sanctioned for Unfair Sales Presentation with Church bonds

B.C. Ziegler, a Wisconsin Broker-Dealer headquartered in Chicago, was recently sanctioned for violating several Financial Industry Regulatory Authority (“FINRA”), National Association of Securities Dealers (“NASD”), and Municipal Securities Rulemaking Board (“MSRB”) rules. The allegations all related to the sale of various Church Bonds and Senior Living Bonds without providing a fair and balanced sales presentation. […]


What to Expect in a FINRA Arbitration – Filing a Claim

Rather than a summons and complaint, a claimant files what is known as a “Statement of Claims” to initiate an action for a FINRA Arbitration. While there are no specific rules of pleadings, the FINRA Rule states only that a statement of claims “specif[ies] the relevant facts and remedies requested,” it can be the most […]


What to expect in a FINRA Arbitration?

Most broker dealers include mandatory FINRA arbitration as a part of their customer new account forms. This means that if you have a dispute with your broker, or the company he works for (broker-dealer), you have likely given up your right to pursue those claims in court. Instead disputes are resolved through a panel of […]


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