Securities Arbitration Lawyers Blog

After meeting him at bar in Boca Raton, Tania Deutsch began investing with David Cohen, who promised incredible returns through marijuana and real estate investments. Deutsch lost $1.45 million with Cohen, who was not licensed as a broker or financial adviser and is accused of defrauding her. This is a…

According to FINRA Disciplinary actions for September 2020, 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   Madeline Colon…

According to FINRA Disciplinary actions for September 2020, 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   William Baris   Network 1 Financial Securities Inc.   Joseph Stone Capital LLC   Todd…

According to FINRA Disciplinary actions for September 2020, the following individuals were suspended 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. However, these individuals remain bound by…

A class action lawsuit has been filed against Neovasc Inc. (NVCN), a Canadian biotech company, regarding potential violations of federal securities laws. If you have losses from investing in Neovasc Inc. (NVCN) during the class period between November 1, 2019 and October 27, 2020, contact Silver Law Group for a…

Jesse Kovacs (Jesse Todd Kovacs CRD# 5047161) is a currently suspended broker who last worked for PTS Brokerage, LLC in their Forked River, New Jersey branch office. Kovacs was suspended for participating in a private securities transaction (selling away) without giving advance written notice to his firm. Jesse Kovacs Disclosures…

Silver Law Group has filed a class action lawsuit in Florida federal court on behalf of investors in Par Funding/Complete Solutions Group Inc., a business that gave merchant cash advance loans to small businesses, which the SEC calls a $500 million “web of unregistered, fraudulent securities offerings.” The lawsuit is…

Jose Aman, owner of the diamond-backed cryptocurrency Ponzi scheme Argyle Coin, has been indicted on federal wire fraud charges. Aman, who is based in South Florida, also owns two other companies that are linked to Argyle, Natural Diamonds Investment Co. and Eagle Diamond Group Inc. Silver Law Group represents investors…

Anthony Hall (Anthony Glenn Hall CRD: #5546165) is a former registered broker and investment advisor whose last known employer was Edward Jones (CRD: #250) of Dayton, Texas. He was employed with Edward Jones from 2008 until his discharge in 2019. No additional employment information is available. On 8/12/2019, two customers…

Bryant Caveness (Bryant Edwin Caveness CRD: #4033740) is a former registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD#:6363) of Kingsport, TN. His previous employers include Ameriprise Advisor Services, Inc. (CRD#:5979), also of Kingsport, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. He has…