Stephen Silver– Private Securities Transactions

investment fraud attorneysStephen Silver Allegedly Participated in Private Securities Transactions by Facilitating the Sale of Shares of an Australian Gold Mining Company to a Singapore-based Gold Company

Stephen Silver allegedly participated in two private securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Silver’s alleged private securities transactions purportedly facilitated the sale of shares of an Australian gold mining company to a Singapore-based gold company, said Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Stephen Silver’s alleged private securities transactions.

Stephen Silver Suspended and Fined $10,000 by FINRA

The gross proceeds of the aforementioned transactions allegedly exceeded $6 million, and Stephen Silver allegedly received compensation in the amount of $200,000 for his participation, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.

Silver allegedly failed to provide written or any other notification of his participation to his employer member firm, Casimir Capital, at any time, and hence, by said conduct, Silver allegedly violated NASD and FINRA Rules, said Complaint notes.

Silver, as a result of the aforementioned behavior, has been suspended, fined $10,000 and ordered to pay disgorgement in the amount of $40k, the Complaint reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of private securities transactions, and are currently investigating Stephen Silver’s alleged private securities transactions.  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 Stephen Silver’s alleged private securities transactions are encouraged to contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1157 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.