Reuben Brown Formerly with Edward Jones Barred by FINRA SOUTHLAKE, TEXAS Did you invest with advisor Reuben Brown of Edward Jones in Southlake, Texas? After he failed to respond to a FINRA inquiry, he was barred from the securities industry pursuant to FINRA Rule 8210. This rule generally provides that financial advisors must respond to…
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John Marcheso with Centaurus Financial Subject of Several Complaints COEUR D’ALENE, IDAHO Did you invest with financial advisor John Marcheso, currently affiliated with Centaurus Financial in Coeur D’Alene, Idaho? According to BrokerCheck, Marcheso has been the subject of four customer complaints filed within the last four years. The complaints make allegations regarding investments in oil…
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Merrill Lynch Stockbroker Spencer Miller Subject of Several Complaints WESTLAKE VILLAGE, CALIFORNIA Are you a client of financial advisor Spencer Miller, with Merrill Lynch in Westlake Village, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by customers of this financial advisor. According to FINRA’s (Financial Industry Regulatory…
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Michael Brickman Barred from Securities Industry by FINRA PARAMUS, NEW JERSEY Did you invest with financial advisor Michael Brickman in Paramus, New Jersey? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations against Michael Brickman, who previously worked with Pruco Securities (Prudential). He was barred from the securities industry by…
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Kurt Berry, Formerly with Regulus Advisors, Subject of Oil & Gas investment Customer Complaint LOVES PARK, ILLINOIS Are you a former customer of Kurt Berry, formerly with Regulus Advisors, in Loves Park, Illinois? FINRA’s BrokerCheck (attached below) shows that Berry was the subject of a customer complaint made in November 2023 regarding oil and gas…
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Complaints Against Advisor Brian Cote of GPWA, LLC NASHVILLE, TENNESSEE Have you invested in alternative investments through Brian Cote at Gramercy Park Wealth Advisors, or GPWA LLC? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into claims made against Cote, who has been with Gramercy Park Wealth Advisors Securities…
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TransAmerica Financial Advisors and Ching Tse Internal Investigation SAN CARLOS, CALIFORNIA Have you invested with Ching Tse from San Carlos, California? In December 2023, Ching Tse was “permitted to resign” by TransAmerica Financial Advisors. According to BrokerCheck, the advisor resigned from TransAmerica while under internal investigation after allegations of engaging in an unauthorized outside business…
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Fifth Third Securities Fires Advisor Richard Critelli MARIETTA, GEORGIA Have you invested with financial advisor Richard Critelli from Marietta, Georgia? The securities arbitration law firm of Israels & Neuman is reviewing allegations made against Richard A. Critelli. In December 2023, he was fired by Fifth Third Securities. Critelli was alleged to have altered customer documentation.…
Continue reading ›David Tall Formerly with SagePoint Financial is Barred by FINRA SAN JUAN CAPISTRANO, CALIFORNIA Are you a former client of David Tall in San Juan Capistrano, California? We are reviewing allegations made against David Tall, formerly with SagePoint Financial and Osaic Wealth. It was alleged that he executed two promissory notes without firm approval, which…
Continue reading ›Stifel Nicolaus Stockbroker Loren Morrison Subject of Several Complaints SOUTHFIELD, MICHIGAN Did you lose money with financial advisor Loren Justin Morrison with Stifel Nicolaus in Southfield, Michigan? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Morrison. According to FINRA’s BrokerCheck, Mr. Morrison has been…
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