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26
May

KEVIN CORY of RF Lafferty & Company is BARRED, Baltimore, MD

Losses with Kevin Cory of RF Lafferty & Company in 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 …
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23
May

ANGELO ANELLO of LPL Financial Subject of COMPLAINTS

Losses with Angelo Anello of LPL Financial in Needham, MA
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 …
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22
May

CHRISTOPHER CARPENTER of LPL Financial BARRED for REIT Sales

Losses with Christopher Carpenter of LPL Financial in Charlotte, NC
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 …
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15
May

RICK DAVIDSON of National Securities, Aegis Capital and Morgan Stanley

Losses with Rick Davidson of National Securities, Aegis Capital and Morgan Stanley in New York, NY
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 …
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12
May

MICHAEL ROSENMAYER of Oppenheimer Subject of COMPLAINTS

Losses with Michael Rosenmayer of Oppenheimer in Los Angeles, CA
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 …
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9
May

JASON PINTUS of Monmouth Capital BARRED for Allegations of Falsified Documents

Losses with Jason Pintas of Monmouth Capital in Point Pleasant, NJ
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 …
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9
May

Complaints Against Cetera Advisor REBECCA KING WAH NG-TSANG

Losses with Rebecca King Wah Ng-Tsang of Cetera Advisors in Bellevue, WA
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 …
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8
May

JOSEPH CRESPI of Stifel Nicolaus Accused of Excessive Trading

Losses with Joseph Crespi of Stifel Nicolaus in St. Louis, MO
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. …
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