SEARCH OUR BLOGS
20
Nov

DANIEL DENO of LPL Financial ARRESTED FOR FRAUD

Losses with Daniel Deno of LPL Financial in Owensboro, KY
LPL Financial Advisor Daniel Deno Arrested OWENSBORO, KENTUCKY     Did you invest with Daniel Deno, with LPL Financial?  Our securities arbitration firm is looking into allegations made against this advisor from Owensboro, Kentucky.  He was recently arrested and charged with fraud and theft regarding a 73-year-old Tell City, Indiana client, according to 14news.com.  Deno allegedly asked …
Read More "DANIEL DENO of LPL Financial ARRESTED FOR FRAUD"
7
Nov

SHERWIN SARGEANT of Planmember Securities is BARRED

Losses with Sherwin Sargeant of Planmember Securities in Orlando, FL
 Sherwin Sargeant, Formerly with Planmember Securities, Barred from Securities Industry ORLANDO, FLORIDA     Did you invest in crypto with financial advisor Sherwin Sargeant in Orlando, Florida? Israels & Neuman is looking into claims made by FINRA against this advisor, who was an affiliate of Planmember Securities.  He was barred from the securities brokerage industry by FINRA …
Read More "SHERWIN SARGEANT of Planmember Securities is BARRED"
4
Nov

GUSTAVO DOLFINO is BARRED by SEC for Sales of Student Global LLC

Losses with Gustavo Dolfino and Student Global LLC at Silver Leaf Partners in New York, NY
Gustavo Dolfino Barred by SEC Regarding Student Global LLC NEW YORK, NY     Did you lose money investing in Student Global LLC through Gustavo Dolfino, formerly with Silver Leaf Partners in New York, New York?  He was recently barred from the securities industry by the Securities and Exchange Commission (SEC). According to an October 2024 Order …
Read More "GUSTAVO DOLFINO is BARRED by SEC for Sales of Student Global LLC"
25
Oct

KENNETH JUDD of Valkyrie Equities is BARRED

Losses with Kenneth Judd of Valkyrie Equities in Farmers Branch, TX
 Kenneth Judd, Formerly with Valkyrie Equities, Barred from Securities Industry FARMERS BRANCH, TEXAS     Did you invest with financial advisor Kenneth Judd in Farmers Branch, Texas? Our securities arbitration law firm is looking into claims made against this advisor, who previously worked for Valkyrie Equities.  He was expelled from the securities brokerage industry by FINRA after …
Read More "KENNETH JUDD of Valkyrie Equities is BARRED"
19
Oct

JEFFREY ARSENAULT Sued for Misappropriating Millions from Clients

Losses with Jeffrey Arsenault, OGCP and Four Seasons Fund in Greenwich, CT
Jeffrey Arsenault Sued by SEC Regarding Old Greenwich Capital GREENWICH, CONNECTICUT     Did you lose money investing in Old Greenwich Capital Partners Fund or the Four Seasons Fund through Jeffrey Arsenault?  Jeffrey D. Arsenault was the subject of a civil complaint from the Securities and Exchange Commission (SEC). The SEC alleged that Arsenault misappropriated millions of …
Read More "JEFFREY ARSENAULT Sued for Misappropriating Millions from Clients"
18
Oct

SANFORD SIMMONS a Colorado Advisor is BARRED by FINRA

Losses with financial advisor Sanford Simmons of Castle Rock, CO
Sanford Simmons Barred from Securities Industry CASTLE ROCK, COLORADO     Did you invest with former financial advisor and stockbroker Sanford Simmons in Castle Rock, Colorado? Israels & Neuman is reviewing claims made against this advisor, who was licensed with a number of firms, including Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp., …
Read More "SANFORD SIMMONS a Colorado Advisor is BARRED by FINRA"
15
Oct

ROBERT DALY of Morgan Stanley is BARRED for Complaints

Losses with Robert Daly of Morgan Stanley in Beverly Hills, CA
Robert Daly, Formerly with Morgan Stanley, Barred from Securities Industry BEVERLY HILLS, CALIFORNIA     Did you invest with financial advisor Robert Daly in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against this advisor, who was previously registered with Morgan Stanley from February 2016 to March 2023.  He was expelled from …
Read More "ROBERT DALY of Morgan Stanley is BARRED for Complaints"