KEVIN CORY of RF Lafferty & Company is BARRED, Baltimore, MD
Kevin Cory, Formerly with RF Lafferty & Company, Barred from Securities Industry BALTIMORE, MARYLAND Did you invest with Kevin Cory of Baltimore, Maryland? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Kevin Cory, who previously worked with RF Lafferty & Company from August 2017 to February … Read More "KEVIN CORY of RF Lafferty & Company is BARRED, Baltimore, MD"
Angelo Anello, with LPL Financial, Subject of Several Complaints NEEDHAM, MASSACHUSETTS Did you lose money with stockbroker Angelo Anello in Needham, Massachusetts? Israels & Neuman is looking into claims made against Angelo Anello, with LPL Financial. FINRA’s BrokerCheck shows that Anello has been the subject of four customer complaints, three of which have been made … Read More "ANGELO ANELLO of LPL Financial Subject of COMPLAINTS"
Christopher Carpenter, Formerly with LPL Financial, Barred by FINRA CHARLOTTE, NORTH CAROLINA Did you lose money with financial advisor Christopher Carpenter, formerly with LPL Financial in Charlotte, North Carolina? Christopher John Carpenter was barred by FINRA after he failed to cooperate with a FINRA investigation. In February 2023, LPL Financial filed a Form U5 with … Read More "CHRISTOPHER CARPENTER of LPL Financial BARRED for REIT Sales"
Thomas Tedeschi, Formerly of Spartan Capital, Suspended by FINRA GARDEN CITY, NY Have you invested money with financial advisor Thomas Tedeschi, formerly with Spartan Capital Securities in Garden City, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Thomas J. Tedeschi. FINRA has suspended Tedeschi from the securities industry for … Read More "THOMAS TEDESCHI of Spartan Capital is SUSPENDED"
Rick Davidson, Formerly of National Securities Corp., Aegis Capital, and Morgan Stanley NEW YORK, NY The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Rick Davidson of New York City. Rick Davidson has been the subject of 12 customer complaints, including 6 complaints that have been filed … Read More "RICK DAVIDSON of National Securities, Aegis Capital and Morgan Stanley"
Michael Rosenmayer, with Oppenheimer & Co., Subject of Numerous Complaints LOS ANGELES, CALIFORNIA Have you invested with financial advisor Michael Rosenmayer of Los Angeles, California? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by current and former clients of Michael Rosenmayer. Rosenmayer has been a financial advisor and … Read More "MICHAEL ROSENMAYER of Oppenheimer Subject of COMPLAINTS"
Jason Pintus, Formerly with Monmouth Capital Management, Barred from Securities Industry POINT PLEASANT BEACH, NEW JERSEY The securities and investment fraud law firm of Israels & Neuman is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Jason Pintus, of Point Pleasant Beach, NJ, who previously worked with Monmouth Capital Management from … Read More "JASON PINTUS of Monmouth Capital BARRED for Allegations of Falsified Documents"
Customer Complaints Involving Aaron Graham in Salt Lake City SALT LAKE CITY, UTAH Have you lost money with Aaron Graham, a financial advisor with United Planners Financial Services in Salt Lake City, Utah? Graham was recently the subject of a customer complaint. The customer alleged that Graham violated his fiduciary duties in connection with the … Read More "Complaints Against AARON GRAHAM of United Planners in Utah"
Former Cetera Investment Services Advisor Rebecca King Wah Ng-Tsang Subject of Several Customer Complaints BELLEVUE, WASHINGTON Have you lost money investing with former Cetera Investment Services advisor Rebecca King Wah Ng-Tsang? Our Denver and Seattle-based law firm is looking into allegations made against The Cetera advisor, from Bellevue, Washington. According to FINRA’s BrokerCheck, she has … Read More "Complaints Against Cetera Advisor REBECCA KING WAH NG-TSANG"
Stifel Nicolaus & Company Ordered to Pay $3.2 Million Regarding Joseph Crespi and Excessive Trading in Customer Accounts ST. LOUIS, MISSOURI Did you lose money investing with advisor Joseph Crespi, formerly with Stifel Nicolaus & Company? Recently, the Massachusetts Securities Division brough a claim against Stifel Nicolaus, which is a St. Louis, Missouri-based brokerage firm. … Read More "JOSEPH CRESPI of Stifel Nicolaus Accused of Excessive Trading"