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Public Justice

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A class action lawsuit has been filed against Neovasc Inc. (NVCN), a Canadian biotech company, regarding potential violations of federal securities laws. If you have losses from investing in Neovasc Inc. (NVCN) during the class period between November 1, 2019 and October 27, 2020, contact Silver Law Group for a no-cost consultation at (800) 975-4345 or by email at ssilver@silverlaw.com. The deadline to apply to be lead plaintiff is January 5, 2021. A class has not been certified in this case. You are not represented by an attorney until certification occurs. Neovasc Reducer   Neovasc Inc. (NVCN) is a specialty medical device company that creates cardiovascular devices for the domestic and international market. Neovasc’s products include the Neovasc Reducer, which is under review by the U.S. Food and Drug Administration (FDA) for treatment of patients with refractory angina pectoris.A class action lawsuit has been filed against Neovasc Inc. (NVCN), a Canadian biotech company, regarding potential violations of federal securities laws.

If you have losses from investing in Neovasc Inc. (NVCN) during the class period between November 1, 2019 and October 27, 2020, contact Silver Law Group for a no-cost consultation at (800) 975-4345 or by email at ssilver@silverlaw.com. Continue reading ›

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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 Jesse Kovacs has been in the securities industry since 2006. Before joining PTS Brokerage in 2019, Kovacs worked for The O.N. Equity Sales Company, Hornor, Townsend & Kent, Inc., and other broker-dealers. Kovacs has 6 disclosures on his publicly-available FINRA BrokerCheck report: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. Continue reading ›

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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."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.” Continue reading ›

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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 in the Ponzi scheme and filed the original federal court complaint and continues to act as counsel to the receiver on this matter. From 2014 to 2019, Aman and his companies took millions of dollars from hundreds of investors for a cryptocurrency plan that was described as risk free because it was backed by diamonds, including “fancy colored diamonds”. Investors were told that the diamonds would be cut and resold for a profit. Aman was planning to raise as much as $30 million for an initial coin offering (ICO). The SEC alleges that there were no diamonds of any color and that Aman directed much of the investor money collected for his own personal use. Jose Aman is alleged to have used investor funds to buy horses, pay for rental homes, and pay for his son’s horse riding lessons. New investor money was allegedly used to pay dividends to old investors, which is a Ponzi scheme. The SEC put the company in receivership. As part of the receivership, Scott Silver and Silver Law Group have worked as counsel to the receiver to help recover money for investors.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. Continue reading ›

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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 filed disputes alleging that Hall’s wife borrowed money from them and had not yet paid it back. The loan amounts were $174,427.75 and $134,785.14, totaling of $309,212.89. The company settled the disputes for $174,427.75 and $130,000, respectively. Edward Jones then terminated Hall on 8/14/2019, “after concerns that registered representative attempted to settle two client complaints involving lending arrangements with the registered representative's wife without notifying the firm.”  After his discharge, the firm then filed a Form U5 with FINRA indicating that they had terminated Hall for the reasons stated.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. Continue reading ›

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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 been in the industry since 1999. Ameriprise Financial discharged Caveness on 6/26/2020, indicating that, “the registered representative was terminated for company policy violations related to personal trade, ethics, and solicitation of exchange traded products.” FINRA began its investigation that included allegations of “potential receipt of checks from senior customers.” Bryant Caveness initially cooperated with the investigation, but changed his mind in July of 2020. In an email from his legal counsel on July 9, 2020, to FINRA staff, Caveness indicated that he had received FINRA’s request for documentation, but would not be supplying the requested information or documentation at any time.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 been in the industry since 1999. Continue reading ›

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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 Griffith Securities, Inc. (CRD#:10410) of Hartford, CT. He has been in the industry since 1989. In 2015,Girard Securities partnered with Cetera Advisor Networks joining the Cetera platform. As part of Cetera, it is responsible for any of Girard’s liabilities. Cetera is a large network of interrelated brokerage firms all operating under the Cetera umbrella. The Utah Division of Securities notified both Secor and Cetera that the agency began an investigation into Stanley Secor’s activities while with the firm. After an on-site investigation, the agency found that Secor engaged in: Sharing in client accounts Roles in estates and trustee appointments that were undisclosed and unapproved Designation as client's beneficiary without the firm’s knowledge or approval Violation of former BD's WSPS and misrepresentation regarding the sources of funds Control and custody of client funds False statements Engaging in dishonest or unethical practicesStanley 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 Griffith Securities, Inc. (CRD#:10410) of Hartford, CT. He has been in the industry since 1989. Continue reading ›

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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   Packerland Brokerage Services, Inc.
  USA Financial Securities Corporation
  Roderick Day   Cabot Lodge Securities LLC
  IFS Securities
  Marvin Egorin   Wedbush Securities Inc.
  Wells Fargo Clearing Services, LLC
  Frank Grant IV
  Andrew Slocum   Charles Schwab & Co., Inc.
  Merrill Lynch, Pierce, Fenner & Smith Inc
  Junior Tonkam   PFS Investments Inc.

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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   TD Ameritrade, Inc.
  Scottrade, Inc.
  Terrence Diehl   LPL Financial LLC
  Private Advisor Group
  Alex Herrera   UBS Financial Services Inc.
  HSBC Securities (USA) Inc.
  Blake Kiernan   Four Points Capital Partners LLC
  First Midwest Securities, Inc.
  Deependra Logani   Morgan Stanley Smith Barney LLC
  Santander Securities LLC
  Anthony Mastroianni Jr.   Meyers Associates, L.P.
  Alexander Capital, L.P.
  Frank Mebane III   LPL Financial LLC
  Wells Fargo Clearing Services, LLC
  Denis O’Leary   Dinosaur Financial Group, LLC
  Morgan Stanley
  John Riccardi Jr.   Joseph Stone Capital LLC
  Windsor Street Capital, LP
  Scott Whittemore   Wells Fargo Clearing Services, LLC
  Morgan Stanley

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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 the securities arbitration agreement to arbitrate any disputes between themselves and their former customers:

NAME FORMER EMPLOYERS
  Michael Albarella   HSBC Securities (USA) Inc.
  People’s Securities, Inc.
  Curt Giacobbe   MML Investors Services, LLC
  Eagle Strategies LLC
  Dean Grosskreutz   Allstate Financial Services, LLC
  Morgan Keegan & Company, Inc.
  Naveed Mitha   SunTrust Robinson Humphrey, Inc.
  Jose Montero   J.P. Morgan Securities LLC
  Cleavon Tidball   T. Rowe Price Investment Services, Inc.
  Transamerica Investors Securities Corporation

Continue reading ›

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