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19
Feb

UPDATE – MARTIN BATSTONE of San Diego, CA is BARRED

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News Update - Martin Batstone of Independent Financial Group in San Diego, California

Martin Batstone, formerly with Independent Financial Group, Barred by FINRA Have you lost money with financial advisor Martin Batstone?  We are investigating allegations made about Martin D. Batstone from San Diego, California.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleges that he solicited investors to invest $75,000 in an […]

17
Feb

INVESTOR ALERT – David Dalton of Moors & Cabot SUSPENDED – Boston, MA

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Investigation of David Dalton of Moors & Cabot in Boston, MA

David Dalton, formerly with Moors & Cabot, Suspended from Securities Industry Have you lost money with financial advisor David Dalton of Boston, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David F. Dalton. FINRA suspended Dalton from the securities industry for three months and fined $7,500.  It was alleged […]

14
Feb

INVESTOR ALERT – RONALD HANNES of Woodbury Financial BARRED – Spokane, WA

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INVESTOR ALERT! Ronald Hannes of Woodbury Financial in Spokane, WA

Ronald Hannes, formerly with Woodbury Financial Services, Barred from Securities Industry Have you lost money with financial advisor Ronald Hannes of Woodbury Financial in Spokane, Washington?  The Law Firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ronald W. Hannes.  FINRA barred Hannes from the securities industry […]

13
Feb

UPDATE! Jeffrey Nimmow of Forest Securities BARRED – Merrimac, WI

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INVESTOR ALERT! Jeffrey Nimmow of Forest Securities in Merrimac, WI is BARRED

Jeffrey Nimmow, formerly with Forest Securities, Barred by FINRA for Selling Woodbridge Have you lost money with financial advisor Jeffrey Nimmow of Merrimac, Wisconsin?  You may be able to recover your losses. The Law Firm of Israels & Neuman is continuing to look into allegations made against Jeffrey Nimmow.  FINRA (the Financial Industry Regulatory Authority) […]

11
Feb

Investigation of CYNTHIA COUYOUMJIAN – Tustin, CA and San Diego, CA

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INVESTOR ALERT - Cynthia Couyoumjian of Independent Financial in San Diego and Tustin, CA

Israels & Neuman, PLC Investigates Cynthia Couyoumjian of Independent Financial Group Have you lost money with financial advisor Cynthia M. Couyoumjian (CRD# 1456630) of Independent Financial Group in Tustin, California?  The Law Firm of Israels & Neuman is investigating allegations of former customers related to Cynthia Couyoumjian. Cynthia Couyoumjian’s CRD report, a public record maintained […]

11
Feb

UPDATE! Robert Escobio of Southern Trust BARRED – Miami, FL

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INVESTOR ALERT! Robert Escobio of Southern Trust Securities in Miami, FL is BARRED

Robert Escobio, previously with Southern Trust Securities, Barred by FINRA Have you lost money with financial advisor Robert Escobio?  We are continuing to look into allegations made by FINRA.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that he failed to respond to its investigation.   FINRA was investigating him […]

10
Feb

UPDATE: Daniel Arcuri of Thrivent is Now BARRED – Greensburg, PA

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Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA

Daniel Arcuri, formerly with Thrivent Investment Management, Barred from Securities Industry Have you lost money with financial advisor Daniel Arcuri of Thrivent Investment Management in Greensburg, PA?  In February 2020, FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleges that he misused customer funds and engaged in undisclosed outside business […]

6
Feb

VICTIM RECOVERY: Losses with ELIAS HERBERT HAFEN of Morgan Stanley – NY

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INVESTMENT ALERT! Elias Herbert Hafen aka Elias Herbert Niggebrugge of Morgan Stanley and Wells Fargo in New York, NY

Elias Herbert Hafen, formerly with Morgan Stanley and Wells Fargo, Sentenced to 30 Months Prison Have you lost money with financial advisor Elias Herbert Hafen, (aka Elias Herbert Niggebrugge) of Morgan Stanley and Wells Fargo in New York, New York?  You may be able to recover losses. The Law Firm of Israels & Neuman is […]

5
Feb

INVESTOR ALERT: Peter Monson SUSPENDED – Minneapolis, MN

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News Update - Martin Batstone of Independent Financial Group in San Diego, California

Peter Monson, with Van Clemens & Co., Suspended from Securities Industry Have you lost money with financial advisor Peter Douglas Monson from Minneapolis, Minnesota?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Peter Douglas Monson. FINRA suspended him from the securities industry for six months and fined $7,500.  Monson […]

3
Feb

RANDY CARPEN Barred for Excessive Trading in Customer Accounts

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Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA

Randy Carpen, formerly with Vestech Securities, Barred from Securities Industry Have you lost money with financial advisor Randy Carpen of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Randy T. Carpen.  FINRA barred Carpen from the securities industry after he failed to respond to a FINRA investigation. […]

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