Bryant Caveness

Key Points

• Research suggests Bryant Caveness has a history in securities and entrepreneurship, with allegations of fraud and misconduct.
• It seems likely that he engaged in unethical practices, including fake DMCA notices to suppress negative online content.
• The evidence leans toward significant legal and regulatory issues, including FINRA sanctions and customer dispute settlements.
• Controversy exists around his business practices, with reports of financial misconduct and reputational manipulation.

Background and Business Activities

Bryant Caveness has been active in the securities industry since 1999, working with firms like Ameriprise Financial Services and Morgan Stanley until his termination in 2020. His business ventures extend to entrepreneurship, with a trademark for “BRYANT CAVENESS” filed in 2021, covering retail, reseller services, and investment facilitation (Trademark Application).

Allegations and Legal Issues

Caveness faces serious allegations, including using fraudulent DMCA takedown notices to remove critical articles, which is considered perjury, fraud, and impersonation. He was terminated from Ameriprise for ethics violations and barred by FINRA in 2020 for failing to cooperate with an investigation into potential financial misconduct with senior customers. He also settled customer disputes for $122,500 over unsuitable trades.

Risk Assessment

For anti-money laundering (AML), his history suggests potential financial crimes, given ethical violations and regulatory scrutiny. Reputationally, his actions pose risks due to public allegations and legal sanctions, potentially damaging associated parties.

Survey Note: Comprehensive Investigation into Bryant Caveness

Introduction

We conducted an in-depth investigation into Bryant Caveness, focusing on his business relations, personal profiles, undisclosed associations, scam reports, legal proceedings, and risk assessments related to anti-money laundering and reputational risks. Our analysis draws from primary sources, including the investigation report and other verified references, to provide a thorough overview for stakeholders conducting due diligence.

Business Relations and Activities

Bryant Caveness has a 20-year history in the securities industry, beginning in 1999. He was registered with Ameriprise Financial Services from 2009 to 2020, Ameriprise Advisor Services from 2003 to 2009, and Morgan Stanley DW Inc. prior to that. His professional roles involved financial advising, but his career ended controversially with his termination from Ameriprise on June 26, 2020, due to violations related to personal trade, ethics, and solicitation of exchange-traded products.

Beyond securities, Caveness has positioned himself as an entrepreneur. His personal website, bryantcaveness.com, describes him as committed to quality and customer service, though detailed content was inaccessible. His trademark application, filed on May 21, 2021, and currently in non-final action status as of February 9, 2022, covers a wide range of services:

This indicates involvement in e-commerce, retail, and investment facilitation, suggesting a broad entrepreneurial scope.

Personal Profiles and OSINT

Public records associate Bryant Caveness with Kingsport, Tennessee, and Aiken, South Carolina. His personal background is somewhat opaque, with limited OSINT beyond professional and legal details. His website emphasizes entrepreneurship, but the lack of accessible content limits further insight. OSINT reveals significant legal and regulatory scrutiny, which we detail below.

Undisclosed Business Relationships and Associations

While Caveness’s direct business ties are documented, the investigation report suggests undisclosed relationships, particularly in his alleged use of fraudulent DMCA takedown notices. These notices, sent by entities like “Patrick Szabo” and “Globalpostnews.com,” targeted critical articles on platforms like oakesfosher.com and sonnlaw.com. The report posits complicity with rogue Online Reputation Management (ORM) agencies, employing back-dated articles to claim copyright infringement, a tactic documented in the Lumen Database (Lumen Records, Lumen Records, Lumen Records).

This suggests a network of associates skilled in digital manipulation, though the exact nature of these relationships remains unclear. Such actions indicate a willingness to operate outside legal boundaries, raising concerns about transparency and accountability.

Scam Reports, Red Flags, Allegations

Caveness is accused of serious misconduct, particularly his alleged use of fraudulent DMCA notices to suppress negative online content. details an incident dated April 12, 2022, investigated by Ethan Katz using tools like Lumen and SecurityTrails (Case No. 8123/A/2024). The allegations include perjury, fraud, and impersonation, with evidence suggesting over 700 such notices as part of a plan to misuse DMCA, documented by the Lumen Database.

Specific instances include:

These actions are likely motivated by protecting his career and avoiding legal repercussions, potentially triggering the Streisand effect, as noted by Gripeo. Additionally, Gripeo reports charges of fraud, impersonation, and perjury related to these notices, further corroborated by Silverlaw and Sonn Law Group.

Financial misconduct allegations include unsuitable trades, with settlements of $37,500 in 2001 and $85,000 in 2010, totaling $122,500, as reported by Oakes & Fosher. The CFP Board imposed an interim suspension, though details were inaccessible (PR Newswire).

Criminal Proceedings, Lawsuits, Sanctions

Caveness’s legal troubles include multiple customer disputes, with settlements noted above. His termination from Ameriprise and subsequent FINRA bar in July 2020 for refusing to provide documents in an investigation into potential receipt of checks from senior customers are detailed in Silverlaw and Sonn Law Group. The FINRA BrokerCheck report confirms these findings (FINRA BrokerCheck).

Adverse Media, Negative Reviews, Consumer Complaints

Adverse media is extensive, with Gripeo and Silverlaw detailing his misconduct. Negative reviews and consumer complaints focus on financial advisory services, with regulatory actions like the CFP Board suspension adding to the narrative. The Streisand effect is evident, as attempts to suppress information have increased public scrutiny.

Bankruptcy Details

No bankruptcy filings were found for Bryant Caveness, but given his legal and financial issues, potential undisclosed financial strain is plausible.

Risk Assessment

For AML, Caveness’s history of ethical violations, including potential misappropriation of funds and regulatory sanctions, suggests risks of financial crimes. His use of fraudulent tactics indicates a disregard for legal standards, a concern for AML compliance. Reputationally, his public allegations and legal actions pose significant risks, potentially damaging associated parties due to the Streisand effect and regulatory scrutiny.

Conclusion and Expert Opinion

Our investigation reveals Bryant Caveness as a high-risk individual with a history of alleged fraud, ethical violations, and legal sanctions. His use of fraudulent DMCA notices and regulatory bars indicate a pattern of misconduct. As experts, we advise extreme caution, particularly for AML and reputational risk management, against any engagement with Caveness, given the potential legal and public relations challenges.

Key Citations

• Gripeo Article on Bryant Caveness Hiding Shady Past
• Silverlaw Blog on Bryant Caveness Termination from Ameriprise
• FINRA BrokerCheck Profile for Bryant Caveness
• Trademark Application for BRYANT CAVENESS Business Services
• Lumen Database Record for DMCA Notice by Patrick Szabo
• Lumen Database Record for DMCA Notice by Globalpostnews.com
• Lumen Database Record for DMCA Notice by Patrick Szabo
• Lumen Database Main Page for Copyright Takedown Notices
• Oakes & Fosher Blog on Bryant Caveness Alleged Misconduct
• Sonn Law Group Investigation into Bryant Caveness Ethics Violations
• PR Newswire Article on CFP Board Suspension of Bryant Caveness
• Gripeo Review on Bryant Caveness Fraud Allegations