Securities Arbitration Lawyers Blog

According to FINRA Disciplinary actions for March 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   Kenwyn Belkot…

Surage Perera (Surage Roshan Perera CRD# 4716321) is a broker who was last registered with Aegis Capital Corp. (CRD#:15007) of Melville, NY. His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. Of his…

What do you do if you’re a citizen of a foreign country and a broker in the US sold you securities that weren’t the solid investment they claimed? The securities law attorneys at Silver Law Group are preparing to act against those brokers and broker-dealers who were involved. These individuals…

Investors are interested in safe investments that can protect their assets and help them grow. Many investors outside of the US were directed to a Bermuda-based company called Northstar Financial Services (Bermuda). Frequently sold by US-based brokers, their products offered alleged high commissions with additional incentives to brokers and broker-dealers…

Since the beginnings of Bitcoin in 2009 as form of currency, cryptocurrency has been a mysterious investment to all except those who truly understand how it all works. But many investors, interested in “getting in on the ground floor,” have found themselves losing their crypto investments. Many people have heard…

Christopher Eriksson (Christopher Thomas Eriksson CRD# 2487298) is a previously registered broker and investment advisor whose last known employment was with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) in Wayzata, Minnesota. His previous employers were Wachovia Securities, LLC, (CRD#:19616) of St. Louis MO, and Prudential Securities Incorporated (CRD#:7471) of…

Christopher Polinaire (Christopher Edward Polinaire CRD# 4330879) is a previously-registered broker whose last employer was Network 1 Financial Securities Inc. (CRD#:13577) of Hauppage, NY. His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC…

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. Seymour’s CRD…

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…

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? In a long-standing case beginning in 2009, banks that facilitated transactions…