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Did you lose money with Jason Hawke or D.H. Hill Securities? The securities arbitration law firm of Israels & Neuman is looking into allegations involving Jason Hawke, who was terminated by D.H. Hill Securities in August 2025. Allegations Regarding the Discharge of Jason Hawke FINRA’s BrokerCheck discloses that Jason Hawke was fired by D.H. Hill…

Investors May Have Legal Options to Recover Their Losses Allegations of FINRA Patrick Pistor of New Braunfels, Texas was discharged by Equitable Advisors in February 2025.  Equitable Advisors disclosed that he was “discharged for failure to comply with the Firm’s Outside Business Activity policy”.  Generally, under FINRA Rule 3270, stockbrokers must get permission from their…

FINRA’s Allegations FINRA alleged that it has started an investigation into Glenn Ngo, who was formerly with Park Avenue Securities in San Diego, California.  They are investigating whether he participated in selling investments away from his firm.  Investors may be able to recover losses by filing a claim through the securities law firm of Israels…

FINRA Allegations Against Dennis Herrera FINRA has brought a regulatory action against Dennis Herrera of Aegis Capital in Miami, Florida, alleging that he violated Regulation Best Interest (Reg BI) by excessively trading or churning two customers’ accounts.  If you lost money investing with Herrera, you may have legal options to recover your losses. The securities…

Were you a client of Leroy Born, formerly at Wells Fargo? We are looking into claims involving Leroy Born, who formerly was a representative with Wells Fargo and worked in a Tustin, California office.  Born was discharged by Wells Fargo in June 2025. Wells Fargo’s Allegations Regarding Firing Leroy Born FINRA’s BrokerCheck discloses the reasons…

Were you a client of former Crito Capital financial advisors Jeffrey Galvani and Stuart Jeffery in New York, NY? Israels & Neuman, a securities arbitration firm, is looking into claims made against Jeffrey Galvani and Stuart Jeffery, who were both representatives of Crito Capital.  FINRA and SEC Allegations FINRA began investigating Jeffrey Galvani and Stuart…

Allegations from Customer Irvine, California — In April 2025, a customer filed a FINRA arbitration claim against Western International Securities.  The customer alleged that advisor Christopher Polimeni “converted customer’s assets by transferring them to a foundation” and alleges $1.6 million in damages, according to FINRA’s BrokerCheck.   The complaint was still pending as of August 2025. …

Israels & Neuman is looking into claims against Thomas F. Daniels, who formerly was a representative with Steward Partners Investment Solutions.  Steward Partners Investment Solutions terminated Thomas Daniels in February 2025. Allegations Regarding the Termination Daniels was fired by Steward Partners regarding allegations that he “did not obtain consent to trade in a customer’s account”,…

Are you a client of Lyle Uyeda, formerly at Planmember Securities? We are investigating claims involving Lyle Uyeda, who was a representative of Planmember Securities and worked in a Mililani, Hawaii office.  Mr. Uyeda was discharged by Planmember Securities in May 2025. Allegations Regarding Firing Lyle Uyeda Disclosures about Uyeda’s termination are available on FINRA’s…

Were you a client of Danny Davis, formerly of Stifel Nicolaus? Our securities arbitration firm is reviewing claims made regarding Danny Davis, who formerly worked at Stifel Nicolaus in an Omaha, Nebraska office.  He was terminated in May 2025. Reasons for Stifel Nicolaus’s Termination of Danny Davis FINRA’s BrokerCheck shows that Davis was terminated in…