Securities Arbitration Lawyers Blog

FINRA suspended former registered broker Gregory Alan LeVine (CRD# 2401300) indefinitely on 01/29/2018, pending a request for information. This suspension is indefinite, until LeVine provides FINRA the information requested from him, or until it is converted into a complete bar from financial services. LeVine is currently not registered with any…

Silver Law Group is investigating former Cuna Brokerage Services broker Stacy E. Cheney-Jamison after a customer filed an investment fraud claim against the brokerage firm. In March 2018, a customer filed an arbitration complaint against Cuna Brokerage Services (“Cuna”) in Georgia.  The customer complaint alleges several counts of wrongdoing, including…

FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) He is a previously registered broker, and is not currently registered with any FINRA member. His last place of employment was K.C. Ward Financial (CRD# 145135) of Ronkonkoma, NY from 03/05/2010 to 05/09/2017. Seda also worked for K.C.…

Bradley Everett Gardner (CRD# 4423724) is a former broker and investment advisor whose last known position in the financial industry was with LPL, LLC, (CRD# 6413) of Fort Bragg, CA. He worked for LPL from 02/27/2012 to 10/18/2017. Previously, Gardner worked for: Raymond Jones Financial Services, Inc. (CRD# 6694) of Fort…

Lorene Fairbanks (CRD# 2788572) (aka “Lorene Fairbanks Miller,” “Lori Miller”) has been suspended by FINRA for five months due to allegations of an improper financial relationship with a client and improper communications. Her last registered employment was with Ameriprise Financial Services (CRD# 6363). She is not currently registered with any…

FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints.  He has since been subjected to a second customer dispute after being terminated. Dragon was last employed by Berthel Fisher & Company Financial Services, Inc. (CRD#…

Palm Beach, Florida-based Gary Edward Adkin (CRD# 3084484) is currently registered as a broker and investment advisor employed by Stifel, Nicolaus & Company, Incorporated (CRD# 793.) Adkin has been with the firm since 12/4/2015, and was previously employed by Barclay’s and Lehman Brothers. In addition to his current registration with…

FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. The regulators also allege that Aegis CEO and owner Robert Eide was responsible for causing the violations when he failed to respond to reports of suspicious…

Jason Eric Zwibel (CRD# 2460258, aka, Jay Bell Zwibel) is a registered broker and investment advisor with Garden State Securities (CRD# 10083) in Wellington, FL. He has been with Garden State since 1/22/2010. He has worked as a broker since 1994, and previously worked for: GunnAllen Financial, Inc. (CRD# 17609),…

Silver Law Group is currently looking into customer allegations against Logan Burch Phillips, Jr. (CRD #1248589.) Phillips is a previously registered broker who last worked as a broker for Raymond James & Associates (CRD #705) in Jackson MS, from 2013 to 2016. He was previously employed by Morgan Keegan &…