Nathan Silva— Investment Misconduct

Cleveland stockbroker fraud lawyerNathan Silva Allegedly Engaged in Investment Misconduct while Working at Ameritas Investment Corp.

Nathan Silva, who was associated as a registered representative and principal at Ameritas Investment Corp from August 2007 until November 21, 2014, allegedly engaged in investment misconduct, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Peiffer Rosca Wolf  attorneys Alan Rosca and James Booker.

Silva, since November 21, 2014, has allegedly not been associated with any FINRA member firm, but still remains subject to FINRA’s jurisdiction, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Nathan Silva’s alleged investment misconduct.

Nathan Silva Barred by FINRA for Allegedly Failing to Appear for On-the-record Testimony Pursuant to FINRA Rules

Nathan Silva, on April 27, 2016, was notified by FINRA Staff that they were preparing to request on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

Silva allegedly acknowledges that he received FINRA’s request and would not appear for on-the record testimony at any time, and hence, violated FINRA Rules and thus has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, Nathan Silva neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged investment misconduct and are currently investigating Nathan Silva’s alleged investment conduct. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Nathan Silva’s alleged investment misconduct may contact the securities lawyers at the Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1141 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.