A National Securities Arbitration & Investment Fraud Law Firm

$70 MILLION Recovery for Investment Fraud
$44 MILLION Recovery for Ponzi Scheme Victims
$25 MILLION Recovery Against National Brokerage Firm
$9.1 MILLION FINRA Arbitration Award Against Brokerage Firm
$7.9 MILLION Securities Arbitration Award Against Stockbroker
$1 MILLION Securities Arbitration Award for Elder Financial Fraud
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Public Justice

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The Securities and Exchange Commission (SEC) has charged former Morgan Stanley broker Michael Barry Carter with fraud for stealing from his customers, including an elderly client. The complaint filed by the SEC alleges that Carter, a currently-barred broker who was last registered with Morgan Stanley in their McLean, Virginia office, made dozens of unauthorized wire transfers from his client’s accounts to his personal bank account, which amounted to millions of dollars. It is alleged that Carter falsified documents to make the transfers and made unauthorized sales of client’s securities.The Securities and Exchange Commission (SEC) has charged former Morgan Stanley broker Michael Barry Carter with fraud for stealing from his customers, including an elderly client.

The complaint filed by the SEC alleges that Carter, a currently-barred broker who was last registered with Morgan Stanley in their McLean, Virginia office, made dozens of unauthorized wire transfers from his client’s accounts to his personal bank account, which amounted to millions of dollars. It is alleged that Carter falsified documents to make the transfers and made unauthorized sales of client’s securities. Continue reading ›

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Scott Silver, managing partner of Silver Law Group, has sent letters to Florida’s U.S. Senators, Marco Rubio and Rick Scott, expressing support for, and asking the senators to support, the Edith Shorougian Senior Victims Of Fraud Compensation Act of 2020 (Edith’s Bill). Edith’s Bill would provide a recovery pool for elderly investors who have been defrauded. Provisions in the bill would amend the Victims of Crime Act of 1984 so that seniors victimized by financial fraud would be eligible for reimbursement from the Crimes Victim Fund.Scott Silver, managing partner of Silver Law Group, has sent letters to Florida’s U.S. Senators, Marco Rubio and Rick Scott, expressing support for, and asking the senators to support, the Edith Shorougian Senior Victims Of Fraud Compensation Act of 2020 (Edith’s Bill).

Edith’s Bill would provide a recovery pool for elderly investors who have been defrauded. Provisions in the bill would amend the Victims of Crime Act of 1984 so that seniors victimized by financial fraud would be eligible for reimbursement from the Crimes Victim Fund. Continue reading ›

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Silver Law Group continues to investigate Dean Vagnozzi, Par Funding, A Better Financial Plan, and others on behalf of investors in what the Securities and Exchange Commission (SEC) says was a $500 million “web of unregistered, fraudulent securities offerings.” Around 1,200 investors were solicited through advertisements and free dinner seminars and promised high returns with little to no risk by investing in a merchant cash advance business.Silver Law Group continues to investigate Dean Vagnozzi, Par Funding, A Better Financial Plan, and others on behalf of investors in what the Securities and Exchange Commission (SEC) says was a $500 million “web of unregistered, fraudulent securities offerings.”

Around 1,200 investors were solicited through advertisements and free dinner seminars and promised high returns with little to no risk by investing in a merchant cash advance business. Continue reading ›

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Did you invest in the YieldStreet? Silver Law Group, a nationally-recognized class action and investment fraud law firm, is investigating claims on behalf of YieldStreet investors after an oil and gas deal and five marine loan investments that have not returned principal or paid interest by YieldStreet’s due dates. YieldStreet Inc. is an online investment platform that markets its alternative investments as exclusive deals that are typically reserved for big investors. YieldStreet investors buy into “notes” that are designed to make scheduled cash distributions. These notes are loans, backed by a wide range of assets, including ships, legal settlements and even artwork. To date, YieldStreet has raised more than $1 billion from retail investors for these alternative investments.Did you invest in the YieldStreet? Silver Law Group, a nationally-recognized class action and investment fraud law firm, is investigating claims on behalf of YieldStreet investors after an oil and gas deal and five marine loan investments that have not returned principal or paid interest by YieldStreet’s due dates.

YieldStreet Inc. is an online investment platform that markets its alternative investments as exclusive deals that are typically reserved for big investors. YieldStreet investors buy into “notes” that are designed to make scheduled cash distributions. These notes are loans, backed by a wide range of assets, including ships, legal settlements and even artwork. To date, YieldStreet has raised more than $1 billion from retail investors for these alternative investments. Continue reading ›

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Silver Law Group represents an investor in potential claims against David Coggins and his Miami-based hedge fund Coral Gables Capital, LP, which Coggins manages through his company Coral Gables Asset Management, LLC. Over the past several years, Coggins has solicited investors for his purported hedge fund. Silver Law Group’s client alleges that the hedge fund was a fraud and that Coggins allegedly used the money for unauthorized purposes.Silver Law Group represents an investor in potential claims against David Coggins and his Miami-based hedge fund Coral Gables Capital, LP, which Coggins manages through his company Coral Gables Asset Management, LLC.

Over the past several years, Coggins has solicited investors for his purported hedge fund. Silver Law Group’s client alleges that the hedge fund was a fraud and that Coggins allegedly used the money for unauthorized purposes. Continue reading ›

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In light of recent investigations and enforcement actions focused on misconduct that targets and victimizes teachers and other public sector employees, the Securities and Exchange Commission (“SEC”) has increased its efforts on protecting these individuals. As part of those efforts, the SEC published an Investor Bulletin titled “Tips for Teachers: Investing for Retirement”. Additionally, the SEC also refers interested readers to its 36-page “Guide for Teachers”, published by the SEC’s Office of Investor Education and Advocacy in 2018, which walks teachers through financial planning, saving, debt management, investment options, and avoiding fraud.In light of recent investigations and enforcement actions focused on misconduct that targets and victimizes teachers and other public sector employees, the Securities and Exchange Commission (“SEC”) has increased its efforts on protecting these individuals. As part of those efforts, the SEC published an Investor Bulletin titled “Tips for Teachers: Investing for Retirement”.

Additionally, the SEC also refers interested readers to its 36-page “Guide for Teachers”, published by the SEC’s Office of Investor Education and Advocacy in 2018, which walks teachers through financial planning, saving, debt management, investment options, and avoiding fraud. Continue reading ›

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James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. Before working for Cetera Advisors LLC (CRD# 10299) starting in 2012, McKinney was previously registered with Securian Financial Services, Inc. (CRD# 15296). He had been in the industry since 1991.James McKinney is a barred broker who was last registered with Cetera Advisors in Tulsa, Oklahoma. McKinney’s record shows that in 2019 he was barred from associating with a FINRA member firm after he failed to comply with FINRA requests for information. Customer disputes on McKinney’s record allege misrepresentation, breach of fiduciary duty, and negligence. Continue reading ›

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James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation. Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020.James Kennedy is a barred broker who last worked for Woodbury Financial Services, Inc. in Madison, Mississippi. Woodbury permitted Kennedy to resign for allegedly engaging in unapproved outside business activity with clients. He was barred by FINRA for failing to fully cooperate with their investigation.

Before working at Woodbury Financial Services, Inc. (CRD# 421) from 2007 to 2020, James Kennedy worked for Hartford Equity Sales Company Inc. (CRD# 6604), Edward D. Jones & Co, L.P. (CRD# 250), Legg Mason Wood Walker, Incorporated (CRD# 6555), and Howard, Weil, Labouisse, Friedrichs Inc (CRD# 414). He was registered with FINRA from 1986-2020. Continue reading ›

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Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to John Gissas and his central-Florida based company, Retirement Evolution Group, LLC, for their roles in an alleged half billion dollar fraud scheme. The SEC brought its emergency action to immediately halt the nation-wide fraud, which is believed to have harmed over 1,200 investors. The SEC is seeking a temporary restraining order and by freezing assets. A link to the charges can be found here, which was unsealed on Friday, July 31, 2020.Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to John Gissas and his central-Florida based company, Retirement Evolution Group, LLC, for their roles in an alleged half billion dollar fraud scheme. Continue reading ›

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Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to Dean J. Vagnozzi and his Pennsylvania-based company, A Better Financial Plan, for their roles in an alleged half billion dollar fraud scheme. The SEC brought its emergency action to immediately halt the nation-wide fraud, which is believed to have harmed over 1,200 investors. The SEC is seeking a temporary restraining order and by freezing assets. A link to the charges can be found here, which was unsealed on Friday, July 31, 2020.Our south Florida securities and investment fraud attorneys are investigating claims on behalf of investors in PAR Funding and related companies. On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to Dean J. Vagnozzi and his Pennsylvania-based company, A Better Financial Plan, for their roles in an alleged half billion dollar fraud scheme. Continue reading ›

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