Articles Posted in Securities Arbitration

Lawrence Fawcett (CRD #5851474) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Fawcett consented to the sanction and to the entry of findings that he failed to produce documents and information requested by FINRA, and failed to appear for on-the-record testimony, in…

Joshua Ellis (CRD #5500165) was suspended on March 26, 2018 from associating with any FINRA member firm in all capacities. If Ellis fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 31, 2018 from…

David Barber (CRD #1165082) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Barber consented to the sanction and to the entry of findings that he failed to produce information and documents requested by FINRA during the course of an ongoing examination…

Thomas Meier (CRD #1146044) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier consented to the sanction and to the entry of findings that he effected approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts…

Silver Law Group attorneys have won an award against Curtis D. Milakovich, formerly of Kovack Securities Inc. on behalf of our clients through FINRA arbitration. FINRA Awards Our Clients Damages Due to Curtis D. Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000…

Former broker and investment advisor Mitchell Toby Yanow (CRD #2148171) was last employed by Stifel, Nicolaus & Company, Incorporated (CRD #793) of Boca Raton, FL. His previous employers include Oppenheimer & Co. Inc. (CRD #249) and Wachovia Securities, LLC (CRD #19616), both of Palm Beach Gardens, FL. No current employment…

Carlos Evertsz-Seda is barred from association with any FINRA member in any capacity.  Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Carlos Evertsz-Seda was employed…

Craig Blattner has been in the securities industry for 31 years most recently with Cetera Advisors LLC in Longwood, FL from September 2016 – February 2018. Previous registrations include Investors Capital Corp in Longwood, FL form May 2006 – October 2016.  Mr. Blattner is no longer a registered stockbroker. Blattner…

Richard Minichino has spent 7 years in the securities industry and was most recently registered with Next Financial Group in New York, New York (2016-2018). Previous registrations include Wunderlich Securities, JP Morgan Securities, Chase Investment and David Lerner Associates. According to his BrokerCheck report, Richard Minichino was recently terminated from…

Vicente Davila has spent eight years in the securities industry and was most recently registered with Morgan Stanley in Houston, Texas (2016 – 2018). Previous registrations include Merrill Lynch and Barclays Capital. Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser…