Articles Posted in Excessive Margin Trading

Matthew Winthrop Discharged by Equitable Advisors
Israels & Neuman, PLC

November 7, 2025

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The securities arbitration law firm of Israels & Neuman is looking into allegations involving Matthew Winthrop, who was a representative of Equitable Advisors and worked in an Easton, Connecticut office. He was terminated by the firm in September 2025. Allegations Against Matthew Winthrop FINRA BrokerCheck discloses that Matthew Winthrop was fired by Equitable Advisors in…

Dennis Herrera of Aegis Capital in Miami is Suspended
Israels & Neuman, PLC

August 28, 2025

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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…

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Articles Posted in Excessive Margin Trading

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