{"id":10968,"date":"2023-03-09T17:16:31","date_gmt":"2023-03-09T22:16:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10968"},"modified":"2023-03-09T17:16:31","modified_gmt":"2023-03-09T22:16:31","slug":"finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/","title":{"rendered":"FINRA Bars Broker Caz Craffy After Defrauding Surviving Military Families"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10969 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png\" alt=\"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 &amp; Co. LLC (CRD#:24795) of Staten Island, NY. He has been in the industry since 2011.  FINRA began an investigation into Craffy on 11\/10\/2022 into his outside business activities (OBA.) The investigation began following a customer complaint to FINRA. The next day, Monmouth Capital terminated his employment due to his failure to disclose his OBA.  FINRA requested additional information from Craffy and on-the-record testimony. Additionally, FINRA was interested in the possibility that he had:  Actively traded customer accounts Received loans or gifts from customers Potential conversion of customer funds Failed to disclose his OBA to Monmouth and FINRA as required\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Caz Craffy (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5222223\" target=\"_blank\">5222223<\/a>, a\/k\/a Carz Levinski Craffey<em>)<\/em> 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 &amp; Co. LLC (CRD#:24795) of Staten Island, NY. He has been in the industry since 2011. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#more-10968\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>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 &amp; Co. LLC (CRD#:24795) of Staten Island, NY. He has been [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10968","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Caz Craffy After Defrauding Surviving Military Families<\/title>\n<meta name=\"description\" content=\"Caz Craffy is a former broker with Monmouth Capital Management who was barred by FINRA after defrauding surviving military families.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Caz Craffy After Defrauding Surviving Military Families\" \/>\n<meta name=\"twitter:description\" content=\"Caz Craffy is a former broker with Monmouth Capital Management who was barred by FINRA after defrauding surviving military families.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Caz Craffy After Defrauding Surviving Military Families","description":"Caz Craffy is a former broker with Monmouth Capital Management who was barred by FINRA after defrauding surviving military families.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Caz Craffy After Defrauding Surviving Military Families","twitter_description":"Caz Craffy is a former broker with Monmouth Capital Management who was barred by FINRA after defrauding surviving military families.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/","name":"FINRA Bars Caz Craffy After Defrauding Surviving Military Families","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png","datePublished":"2023-03-09T22:16:31+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Caz Craffy is a former broker with Monmouth Capital Management who was barred by FINRA after defrauding surviving military families.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/03\/Blog-Graphics.png","width":300,"height":200},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-caz-craffy-after-defrauding-surviving-military-families\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Broker Caz Craffy After Defrauding Surviving Military Families"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10968","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=10968"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10968\/revisions"}],"predecessor-version":[{"id":10970,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/10968\/revisions\/10970"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=10968"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=10968"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=10968"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}