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$70 MILLION Recovery for Investment Fraud
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Daniel O’Neil a broker working for Aegis Capital Corp. (CRD#:15007) in Melville, NY, has faced disciplinary action FINRA after allegedly being involved in improper activities. Daniel O’Neil (Daniel James O’Neil CRD#:1358245) is a former registered broker with Aegis, who discharged him on 7/29/2021 for failing to notify the firm about a “pending enforcement investigation” by FINRA. The investigation focused on “conduct inconsistent with firm standards.” O’Neill’s previous employers include: Ladenburg Thalmann & Co. Inc. (CRD#:505), also of Melville Maxim Group LLC (CRD#:120708) of Woodbury, NY Wachovia Securities, LLC (CRD#:19616) of Manhasset, NY He has been in the industry since 1986.Daniel O’Neil a broker working for Aegis Capital Corp. (CRD#:15007) in Melville, NY, has faced disciplinary action FINRA after allegedly being involved in improper activities.

Daniel O’Neil (Daniel James O’Neil CRD#:1358245) is a former registered broker with Aegis, who discharged him on 7/29/2021 for failing to notify the firm about a “pending enforcement investigation” by FINRA. The investigation focused on “conduct inconsistent with firm standards.” Continue reading ›

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Paul Vizanko (Paul Warren Vizanko CRD:#2572222) is a former broker and investment advisor last employed with  Wells Fargo Clearing Services, LLC (CRD#:19616) of Duluth, MN. He was previously employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Duluth, MN, Wells Fargo Investments, LLC (CRD#:10582) of Grand Rapids, MN, and Miller Johnson Steichen Kinnard, Inc. (CRD#:694) He has been in the industry since 1995. Wells Fargo discharged Vizanko on 1/26/2021 after he borrowed money from a client. Additionally, Vizanko received a cash gift from a different client, and was also named a beneficiary of the second client’s trust. Vizanko failed to notify the firm of these funds, then misappropriated those funds. After FINRA requested information related to his termination, Vizanko failed to respond to two letters dated May 26, 2021 and June 21, 2021. FINRA issued a suspension from any association with a FINRA member, which Vizanko failed to address by requesting within three months of the date. As of August 30, 2021, Vizanko is indefinitely barred from any affiliation with a FINRA member. This ruling is final. On August 12, 2021, a customer filed a dispute alleging that from September 23, 2015 through December 22, 2020, Vizanko cashed checks that were made out to him but intended for the client. No damage amount is listed, and no other information is available. This claim is pending.Paul Vizanko (Paul Warren Vizanko CRD:#2572222) is a former broker and investment advisor last employed with  Wells Fargo Clearing Services, LLC (CRD#:19616) of Duluth, MN. He was previously employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Duluth, MN, Wells Fargo Investments, LLC (CRD#:10582) of Grand Rapids, MN, and Miller Johnson Steichen Kinnard, Inc. (CRD#:694) He has been in the industry since 1995. Continue reading ›

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Silver Law Group’s Coral Springs headquarters serves as home base for many of our attorneys and support staff. Scott Silver, managing partner of Silver Law Group, is licensed to practice in Florida and New York and is proud to establish a leading securities and investment fraud law firm in Coral Springs. Centrally located between Palm Beach and Miami, our attorney’s have easy access to the federal courts throughout south Florida. We represent investors in securities and investment fraud cases to recover losses due to stockbroker misconduct, fraud, and Ponzi schemes. Our work is frequently featured in the Palm Beach Post, Sun Sentinel and other Florida publications and we are proud to help ponzi scheme victims throughout Florida. Our firm takes most cases on a contingency fee basis, meaning clients don’t have to pay us up front and nothing is owed unless we recover your money for you. If you have investment losses, call us toll free at (800) 975-4345 or email ssilver@silverlaw.com. Silver Law Group helps investors in south Florida and around the country. We have satellite offices in Boca Raton and New York, and our main office is in Coral Springs, Florida. Scott Silver, Silver Law Group’s managing partner, is a graduate of the University of Miami Law School. A popular guest lecturer, Scott frequently speaks at Law Schools, trial bar functions and elsewhere about preventing Ponzi schemes. Scott currently serves as Chairman of the American Association of Justice Chair for Securities and Financial Fraud.Silver Law Group’s Coral Springs headquarters serves as home base for many of our attorneys and support staff. Scott Silver, managing partner of Silver Law Group, is licensed to practice in Florida and New York and is proud to establish a leading securities and investment fraud law firm in Coral Springs. Continue reading ›

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The SEC announced that it has filed a temporary restraining order against Ron Harrison (Ron K. Harrison), a former registered broker and investment advisor (CRD#: 1785805) to freeze the assets of his company, Global Trading Institute, and his girlfriend since 2017, Irina Parfyonova. She is named as a relief defendant after receiving more than $279,000 from Harrison’s fraudulent activities, using the funds for their own living expenses. The US District Court in the Central District of California granted the SEC’s restraining order on September 30, 2021, freezing assets and requiring a full accounting of all funds. The court also set another hearing on October 14th to extend the emergency relief with a preliminary injunction.  The complaint states that Harrison and Parfyonova live in Ladera Ranch, CA. Harrison was unregistered, and ran his company, Global Trading Institute (GTI) since 2016 and the now-defunct Trading Advisement Program, LLC (TAP.) Neither were ever registered with the SEC. Harrison charged 22 clients $900,000 based on alleged gains he’d made trading options in the client’s accounts.The SEC announced that it has filed a temporary restraining order against Ron Harrison (Ron K. Harrison), a former registered broker and investment advisor (CRD#: 1785805) to freeze the assets of his company, Global Trading Institute, and his girlfriend since 2017, Irina Parfyonova. She is named as a relief defendant after receiving more than $279,000 from Harrison’s fraudulent activities, using the funds for their own living expenses. Continue reading ›

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Scott Silver was interviewed by The Palm Beach Post for an article about Seeman Holtz, a Boca Raton insurance company accused of swindling over 1,000 investors out of hundreds of millions of dollars with the sale of unregistered promissory notes. Seeman Holtz is alleged to be a Ponzi scheme, is unable to pay its obligations, and has liabilities that exceed its assets. The company is now under the control of a corporate monitor and Scott Silver’s firm, Silver Law Group, represents investors who purchased the promissory notes, many of whom are South Florida-based retirees. The Florida Office of Financial Regulation has investigated Seeman Holtz and filed a lawsuit in Palm Beach County Circuit Court. Co-founder Marshal Seeman, chief financial officer Brian Schwartz, and Seeman Holtz and related companies are accused of misconduct such as securities fraud.Scott Silver was interviewed by The Palm Beach Post for an article about Seeman Holtz, a Boca Raton insurance company accused of swindling over 1,000 investors out of hundreds of millions of dollars with the sale of unregistered promissory notes.

Seeman Holtz is alleged to be a Ponzi scheme, is unable to pay its obligations, and has liabilities that exceed its assets. The company is now under the control of a corporate monitor and Scott Silver’s firm, Silver Law Group, represents investors who purchased the promissory notes, many of whom are South Florida-based retirees. Continue reading ›

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Adam Feierstein (Adam S Feierstein, CRD# 6033082) is a barred broker who was last registered with Proequities Inc and Woodbury Financial Services, Inc. in Redondo Beach, California. He had been in the industry since 2011. Woodbury has been the subject of recent arbitration claims by investors who were sold GPB Capital Holdings investments.Adam Feierstein (Adam S Feierstein, CRD# 6033082) is a barred broker who was last registered with Proequities Inc and Woodbury Financial Services, Inc. in Redondo Beach, California. He had been in the industry since 2011. Woodbury has been the subject of recent arbitration claims by investors who were sold GPB Capital Holdings investments. Continue reading ›

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The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrencies into their scams. Investing in cryptocurrency such as Bitcoin, Litecoin, Ethereum, and other so-called “digital assets” are a truly 21st Century way to invest. For someone who is tech-savvy as well as educated with investing, dipping into crypto may be a next-generation investment that offers returns on an investment. Blockchain-based and without physical currency, digital assets and crypto are only issued and traded electronically, making defrauding investors even easier than before. There is no central overseeing agency, such as the Federal Trade Commission (FTC) or Federal Deposit Insurance Corporation (FDIC.) Unfortunately, like so-called “pot stocks,” crypto trading has also become a fraudster’s dream.The Securities And Exchange Commission recently released a bulletin on their investor website warning about frauds that incorporate digital assets and cryptocurrency into their scams.

Investing in cryptocurrency such as Bitcoin, Litecoin, Ethereum, and other so-called “digital assets” are a truly 21st Century way to invest. For someone who is tech-savvy as well as educated with investing, dipping into crypto may be a next-generation investment that offers returns on an investment. Continue reading ›

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John Edgar Simmons, Jr. (CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of McMinnville. He has been in the industry since 2005. LPL terminated Simmons employment and filed a Form U5 with FINRA on 9/17/2020 indicating his discharge from the firm. The stated reason for his discharge was the result of an internal review investigating Simmons involvement in a private securities transaction. He neither notified the firm nor sought permission. During the course of FINRA’s investigation, staff sent Simmons a letter requesting he supply information and documentation related to the allegations in the Form U5. FINRA staff sent the letter on 02/24/2021. Simmons’ attorney responded by letter on 3/9/2021, acknowledging receipt of the FINRA request and indicating that he would not provide any information now or in the future. His denial violates FINRA Rules 8210 and 2010, and led to a letter of Acceptance, Waiver & Consent (AWC). The letter includes a bar on any involvement with a FINRA member in any capacity. John Edgar Simmons, Jr. (CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. He was previously employed with Investors Capital Corp. (CRD#:30613) of Pensacola, FL, LPL Financial in McMinnville, TN, and Edward Jones (CRD#:250), also of McMinnville. He has been in the industry since 2005. Continue reading ›

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Jeffrey Warren (CRD:#2707969) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. Warren has been in the industry since 1996. On February 10, 2021, a customer filed a dispute with requested damages of $125,000. The customer alleged that in January of 2021, Warren deposited a check from a deceased client’s trust without the approval of the trust’s beneficiaries. The customer was also a beneficiary of said trust. The firm denied the client’s claim.Jeffrey Warren (CRD:#2707969) is a former registered broker whose last known employer was Oppenheimer & Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. Warren has been in the industry since 1996. Continue reading ›

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