Securities Arbitration Lawyers Blog

Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of…

Christopher Polinaire (Christopher Edward Polinaire CRD# 4330879) is a previously-registered broker whose last employer was Network 1 Financial Securities Inc. (CRD#:13577) of Hauppage, NY. His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC…

Todd Seymour (Todd Michael Seymour CRD# 3249733) is a previously registered broker and currently registered investment advisor last employed with Raymond James Financial Services, Inc. (CRD# 6694) of Clearwater, FL. He has one prior employer, Morgan Stanley (CRD#:149777), also of Clearwater, where he began his career in 2014. Seymour’s CRD…

Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. He was previously employed by three divisions of Morgan Stanley (CRDs: #149777, #8209, and #7556), also of Brea. He has been…

When a Ponzi scheme is finally uncovered and stopped, many wonder how it could continue without anyone noticing something was wrong. Do banks that handle fraudulent transactions have any internal processes, or do they simply look the other way? In a long-standing case beginning in 2009, banks that facilitated transactions…

Daniel Beech (Daniel Keith Beech CRD# 6169844) is a registered broker and investment advisor currently employed with Innovation Partners LLC (CRD# 146344) of Charlotte, NC. His previous employers were Western International Securities (CRD# 39262) of Westlake Village, CA, Independent Financial Group, LLC (CRD# 7717) of Sherman Oaks, CA, and Royal…

Silver Law Group Founder and securities law attorney Scott Silver was recently interviewed about a case in which an elderly Florida resident and Holocaust survivor living in Manhattan was scammed out of more than $2.8 million. Thirty-six year old Peaches Stergo of Championsgate, FL, was arrested in January after a…

Caz Craffy (CRD# 5222223, a/k/a Carz Levinski Craffey) is a former broker last employed with Monmouth Capital Management LLC (CRD#:290248) of Point Pleasant Beach, NJ. His previous employers include Newbridge Securities Corporation (CRD#:104065) and National Securities Corporation (CRD#:7569) of Morristown, NJ, and Joseph Gunnar & Co. LLC (CRD#:24795) of Staten…

According to FINRA Disciplinary actions for February 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Eugene Bartley III   J.P. Morgan Securities LLC   Merrill Lynch, Pierce, Fenner & Smith…

According to FINRA Disciplinary actions for February 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Albert Aviles…