Securities Arbitration Lawyers Blog

Jesse Kovacs (Jesse Todd Kovacs CRD# 5047161) is a currently suspended broker who last worked for PTS Brokerage, LLC in their Forked River, New Jersey branch office. Kovacs was suspended for participating in a private securities transaction (selling away) without giving advance written notice to his firm. Jesse Kovacs Disclosures…

Silver Law Group has filed a class action lawsuit in Florida federal court on behalf of investors in Par Funding/Complete Solutions Group Inc., a business that gave merchant cash advance loans to small businesses, which the SEC calls a $500 million “web of unregistered, fraudulent securities offerings.” The lawsuit is…

Jose Aman, owner of the diamond-backed cryptocurrency Ponzi scheme Argyle Coin, has been indicted on federal wire fraud charges. Aman, who is based in South Florida, also owns two other companies that are linked to Argyle, Natural Diamonds Investment Co. and Eagle Diamond Group Inc. Silver Law Group represents investors…

Anthony Hall (Anthony Glenn Hall CRD: #5546165) is a former registered broker and investment advisor whose last known employer was Edward Jones (CRD: #250) of Dayton, Texas. He was employed with Edward Jones from 2008 until his discharge in 2019. No additional employment information is available. On 8/12/2019, two customers…

Bryant Caveness (Bryant Edwin Caveness CRD: #4033740) is a former registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD#:6363) of Kingsport, TN. His previous employers include Ameriprise Advisor Services, Inc. (CRD#:5979), also of Kingsport, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. He has…

Stanley Secor (Stanley Bernard Secor CRD:#1982414) is a former registered broker and investment advisor whose last employer was Cetera Advisor Networks LLC (CRD# 13572) of Salt Lake City, UT. His previous employers include Girard Securities, Inc. (CRD#:18697) and Securian Financial Services, Inc. (CRD#:15296), also of Salt Lake City, and WS…

According to FINRA Disciplinary actions for October 2020, 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   Conrad Coggeshall…

According to FINRA Disciplinary actions for October 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Jeffrey Allen   Wells Fargo Clearing Services, LLC   Wells Fargo Advisors   Christopher Canorro…

According to FINRA Disciplinary actions for October 2020, the following individuals were suspended 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. However, these individuals remain bound by…

Ronald Birnbaum (Ronald David Birnbaum CRD# 238250) is a broker and investment advisor currently registered with Advisory Group Equity Services Ltd. and Trust Advisory Group Ltd. In Newton, Massachusetts. Ronald Birnbaum sold his clients private placements in GPB Capital, which Massachusetts securities regulators accuse of violating securities laws by misleading…