A National Securities Arbitration & Investment Fraud Law Firm
Approximately one year ago a customer lodged a dispute with the Financial Industry Regulatory Authority (FINRA) against broker Jeanpierre Ayala (a/k/a J.P. Ayala) (CRD# 2765730) due to conduct that occurred while Ayala was employed by Laidlaw & Company in Fort Lauderdale, Florida. Ayala is currently registered with Westpark Capital in…
Stephen Carver (a/k/a Stephen Corley Carver) (CRD# 2230161) of Peoria, Illinois, who was last registered with Lifemark Securities Corp., faces a pending customer dispute alleging elder abuse and seeking $9,300,000 in damages. Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer…
In July 2019, the Financial Industry Regulatory Authority (FINRA), suspended Linda Zara (a/k/a Linda Zaramontoya) (CRD# 2322009) of Summit Brokerage Services, Inc. in Boca Raton for “borrow[ing] $44,292 from a 94 year old member firm customer without providing prior notice to, or obtaining prior written approval from her firm.” The…
Perry Santillo, an investment manager based in Rochester, New York, has pleaded guilty to participating in a $115 million Ponzi scheme that defrauded at least a thousand investors by convincing them to invest in businesses that had little or no operations. He and his associate Christopher Parris solicited investments in…
Law.com published an article regarding Silver Law Group’s racketeering lawsuit against Tallahassee, Florida attorney and investment fund manager Phillip Timothy Howard. The article is titled “Embattled Florida Attorney Took Ex-FSU Professor’s Life Savings, Lawsuit Claims”. The lawsuit, filed on November 12, 2019 in the Northern District of Florida, claims that…
Ken Kavanagh (CRD#: 4502223) is a suspended broker who formerly worked for Morgan Stanley (CRD#: 149777) in New York City, Citigroup Global Markets (CRD#: 7059), and UBS Financial Services (CRD#: 8174). Ken Kavanaugh’s publicly-available FINRA BrokerCheck report lists 3 disclosures, including 1 customer dispute, 1 employment separation after allegations, and…
Dexter Thomas (CRD# 1074222) was a broker who formerly worked for LPL Financial (CRD# 6413) in Dallas, Texas, United Planners Financial Services of America (CRD# 20804), National Planning Corporation (CRD# 29604), Invest Financial Corporation (CRD# 12984), AIG Financial Advisors (CRD# 133763), Sunamerica Securities (CRD# 20068), and others. Silver Law Group…
Bobby Coburn (CRD# 1464789) is a barred broker who formerly worked for Securities America, Inc. (CRD# 10205) in Fort Meade, FL. He previously worked for Brecek & Young Advisors (CRD# 40395), Legend Equities Corporation (CRD# 30999), Nationwide Securities (CRD# 11173), and others. Silver Law Group represents investors in arbitration claims…
Nicolas Barrios (CRD#: 2122824) is a currently-barred broker who formerly worked for UBS Financial Services (CRD#: 8174) in Winter Haven, Florida, Wachovia Securities (CRD#: 19616), First Union Brokerage Services (CRD#: 8112), and Merrill Lynch, Pierce, Fenner & Smith (CRD#: 7691). Silver Law Group represents investors in arbitration claims against UBS…
Mercer Hicks III (CRD#: 245170, a/k/a “Mercer Hicks,” “Toby Mercer Hicks III,” or “Toby Hicks III”) is a currently registered broker and formerly registered investment advisor currently employed with Southeast Investments, N.C., INC. (CRD#: 43035) of Charlotte, NC. His previous employers include Capital Investment Group, Inc. (CRD#:14752) and Cantella &…