A National Securities Arbitration & Investment Fraud Law Firm
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. Continue reading ›
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 in the industry since 2001. Continue reading ›
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? Continue reading ›
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 Alliance Associates, Inc. (CRD# 23131) of Los Angeles, CA. He has been in the industry since 2013.
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 four-year-long romance scam in which she bilked the 87-year old man out of his life savings. She used the money for a home in a gated community, a boat, multiple cars, jewelry, gold coins and bars, high-end vacations, designer clothing and other luxury items.
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 Island, NY. He has been in the industry since 2011. Continue reading ›
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 Incorporated | |
| Carl Birkelbach | Birkelbach Investment Securities, Inc. |
| Mark Boucher | Strategic Wealth Advisor Group Services Inc. |
| Raymond James Financial Services | |
| David Weigel | PBC Capital Markets, LLC |
| Morgan Stanley | |
| Jamie Worden | Worden Capital Management LLC |
| Salomon Whitney LLC |
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 | Reid & Rudiger LLC |
| Spartan Capital Securities, LLC | |
| Ruth Chambers | Raymond James & Associates, Inc. |
| Mutual Trusdt Co. of America Securities | |
| Seymour Cohen | Wilmington Capital Securities, LLC |
| Clark Dodge & Co., Inc. | |
| John Fabiano | LPL Financial LLC |
| Wealth Enhancement Advisory Services | |
| Samuel Heavrin | J.P. Morgan Securities LLC |
| Austin Lazarus | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| J.P. Morgan Securities LLVC | |
| Jason Long | State Farm VP Management Corp. |
| Cory Tinsley | Farmers Financial Solutions, LLC |
| AXA Advisors, LLC |
According to FINRA Disciplinary actions for February 2023, 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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:
| NAME | FORMER EMPLOYERS |
| William Casper | J.P. Morgan Securities LLC |
| Kevin Chiu | J.P. Morgan Securities LLC |
| Albert Foronda | Spartan Capital Securities, LLC |
| Worden Capital Management LLC | |
| Edward McMahon | Alexander Capital, L.P. |
| J.P Turner & Company, LLC | |
| Mark Miranda | Spartan Capital Securities, LLVC |
| Network 1 Financial Securities Inc | |
| Patrick Thayer | LPL Financial LLC |
| Parkland Securities, LLC | |
| Brian Wurdemann | RBC Capital Markets, LLC |
| UBS Financial Services Inc. |
Last year’s drop in cryptocurrency had far-reaching implications for the entire industry, including one New York-based exchange, Celsius. Silver Law Group is investigating claims against various third parties for knowingly assisting Celsius fraudulent activities. Continue reading ›
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