Articles Posted in Investment Fraud

Janie Garza-Clark, formerly with Hornor, Townsend & Kent, Barred by FINRA SCOTTSDALE, ARIZONA Have you lost money with financial advisor Janie Garza-Clark of Scottsdale, Arizona? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Janie Garza-Clark. FINRA recently barred Garza-Clark from the securities…

Financial Advisor Ann Werts, Formerly with Cabot Lodge Securities, and GWG Bonds DENVER, COLORADO The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Ann Werts, formerly named Ann Vanderslice, of Denver, Colorado. Werts has been the subject of a recent customer complaint regarding GWG Bond investments,…

Philip Marchese, Formerly with Spartan Capital Securities, Suspended 12 Months from Securities Industry NEW YORK, NY The investment fraud and securities arbitration law firm of Israels & Neuman is looking into a regulatory complaint made by FINRA, the Financial Industry Regulatory Authority, against Philip Marchese. In 2022, FINRA brought a regulatory action against Marchese and…

Doan Nguyen, formerly with Raymond James, Barred by FINRA VANCOUVER, BC Are you a current or former client of advisor Doan Nguyen of Vancouver, British Columbia? Our securities arbitration law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Doan Cong Nguyen. In April 2022, FINRA barred Nguyen from the securities…

James Pecoraro, with Spartan Capital Securities, Subject of FINRA Investigation MELVILLE, NEW YORK Have you invested and lost money with James Pecoraro, a financial advisor who previously worked with SW Financial and is now with Spartan Capital Securities? According to FINRA, James Pecoraro is under investigation for excessively trading or churning customers’ accounts. He is…

Israels & Neuman, PLC Investigates Mark Williams, Formerly with Centaurus Financial, Regarding GWG Bonds CARMEL, CALIFORNIA Are you a current or former client of financial advisor Mark Williams, formerly with Centaurus Financial in Carmel, California? We are looking into allegations made against Mark Williams, who has been the subject of two customer complaints, one of…

Dimitry Tikhonov, with Madison Avenue Securities, Subject of Customer Complaint Involving GPB Automotive TORRANCE, CALIFORNIA Are you a former client of financial advisor Dimitry Tikhonov, with Madison Avenue Securities in Torrance, California? The securities and investment fraud firm of Israels & Neuman is reviewing allegations made by a former customer of Dimitry Tikhonov. The customer…

GWG Files For Bankruptcy, Likely Wiping Out Significant Value for Investors Have you invested money in stocks, preferred shares, or bonds issued by GWG Holdings? The law firm of Israels & Neuman may be able to help you recover investment losses. On April 20, 2022, GWG Holdings filed for Chapter 11 bankruptcy in the Southern…

Maxim Tulupnikoff, with David Lerner Associates, Under Investigation by FINRA WESTPORT, CONNECTICUT Are you a former or current client of Maxim Tulupnikoff? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made by FINRA (the Financial Industry Regulatory Authority) against Maxim Tulupnikoff, who worked in Westport, Connecticut. Tulupnikoff is…

Customer Complaint Made Against Equitable Advisors (previously AXA Advisors) Involving Gregory James and Structured Product SCOTTSDALE, ARIZONA Israels & Neuman is a securities arbitration and investment fraud law firm with offices in Phoenix, Arizona; Denver; and Seattle. Our law firm is looking into allegations made against current Equitable Advisors advisor Gregory James, in Scottsdale, Arizona.…