Articles Posted in Stockbroker Misconduct

Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings that he effected approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts…

Silver Law Group attorneys have won an award against Curtis D. Milakovich, formerly of Kovack Securities Inc. on behalf of our clients through FINRA arbitration. FINRA Awards Our Clients Damages Due to Curtis D. Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000…

Former broker and investment advisor Mitchell Toby Yanow (CRD #2148171) was last employed by Stifel, Nicolaus & Company, Incorporated (CRD #793) of Boca Raton, FL. His previous employers include Oppenheimer & Co. Inc. (CRD #249) and Wachovia Securities, LLC (CRD #19616), both of Palm Beach Gardens, FL. No current employment…

Carlos Evertsz-Seda is barred from association with any FINRA member in any capacity.  Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Carlos Evertsz-Seda was employed…

Craig Blattner has been in the securities industry for 31 years most recently with Cetera Advisors LLC in Longwood, FL from September 2016 – February 2018. Previous registrations include Investors Capital Corp in Longwood, FL form May 2006 – October 2016.  Mr. Blattner is no longer a registered stockbroker. Blattner…

We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter D. Holler.  FINRA suspended Holler from the securities industry for two years, fined him $10,000, and ordered him to disgorge $49,790 in commissions for selling Woodbridge Investments. FINRA was investigating Holler regarding allegations that he engaged…

Richard Minichino has spent 7 years in the securities industry and was most recently registered with Next Financial Group in New York, New York (2016-2018). Previous registrations include Wunderlich Securities, JP Morgan Securities, Chase Investment and David Lerner Associates. According to his BrokerCheck report, Richard Minichino was recently terminated from…

Vicente Davila has spent eight years in the securities industry and was most recently registered with Morgan Stanley in Houston, Texas (2016 – 2018). Previous registrations include Merrill Lynch and Barclays Capital. Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser…

Alan New has been registered with NYLife Securities LLC in Fort Wayne, IN from 2004 to August 2016. According to his BrokerCheck Report, New has been the subject of five customer complaints in 2018. April 2018. “Plaintiff alleges that material facts and the risks associated with an unregistered investment purchased…

Frank Dietrich was registered with Quest Capital Strategies, Inc. in Lake Forest, California from March 2013 to April 2018, when he was terminated regarding, “Failure to fully disclose outside business activities and sale of unapproved product.”  Dietrich sold Woodbridge notes to multiple investors. Dietrich has been the subject of six…