What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: July 28, 2016

Stoltmann Law Offices is investigating Nathan Silva, who was barred from the industry by the Financial Industry Regulatory Authority (FINRA). FINRA was investigating him for allegedly commingling customer funds and communicated with customers without approval from Ameritas. This is against securities rules and regulations. Brokerage firms such as Ameritas have a responsibility to adequately supervise all representatives who are registered through their firm. The firm must also take steps to ensure that their financial advisors follow all securities rules and regulations as well as internal firm policies. When they fail to do so, they may be held liable for investment losses sustained by customers. Please call 312-332-4200 to speak to an attorney about your options of suing Ameritas in the FINRA arbitration forum. Silva was registered with Ameritas Investment Corp in Omaha, Nebraska from September 2007 until November 2014. He has two customer disputes against him and one criminal final disposition.

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