Former Ameritas Investment representative, Nathan Silva Barred from Securities Industry for Failure to Comply with FINRA Investigation

By August 6, 2016 September 20th, 2017 News

According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Nathan Silva was permanently barred from the securities industry for not cooperating with a FINRA investigation.  Silva was a broker for Ameritas Investment Corp. from 2007 to 2014 and in September of 2014 FINRA began investigating allegations of misconduct against him.  Instead of providing testimony or cooperating with the investigation Silva agreed to a permanent ban in AWC 20140426897-01.

His FINRA Broker Check report shows one settled customer dispute based on allegations of churning, misrepresentation, and commission gouging from 2012 to 2014.

Fishman Haygood represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood lawyer today.

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