Nathan Silva— Investment Misconduct
Nathan 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 Wolf Carr & Kane attorneys Jason Kane 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 Wolf Carr & Kane 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 Jason Kane 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 Wolf Carr & Kane 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 Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140.