Did you lose money with financial advisor John Davenport of Norwalk, Connecticut? The securities fraud law firm of Israels & Neuman is reviewing allegations made by the Connecticut Securities and Business Investments Division, against John Davenport. Allegations Against John Davenport Connecticut revoked John Davenport’s securities license for seven years regarding allegations that he violated duties…
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Did you invest with financial advisor Roger Roemmich of Alexander Capital, in Alpharetta, Georgia? Israels & Neuman is looking into claims against this advisor, who was recently barred from the securities industry after he failed to respond to an investigation by FINRA. Allegations Regarding Roger Roemmich In May 2025, Roemmich was allowed to voluntarily resign…
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Did you lose money in structured notes through Dustin Smith, previously at RBC Capital Markets in Naples, Florida? Contact Israels & Neuman at (720) 599-3505. Allegations Regarding Dustin Smith According to FINRA’s BrokerCheck, in December 2025, a customer filed a FINRA arbitration matter against RBC Capital Markets related to advisor Dustin Smith in Naples, Florida. …
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Have you invested with Anthony Cheng from San Jose, California? The securities arbitration law firm of Israels & Neuman is looking into a regulatory complaint made by FINRA against Anthony Cheng aka Tony Cheng, who previously worked for Ameritas Investment Company. Allegations Against Tony Cheng FINRA alleged that it initiated an investigation into Anthony Cheng…
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Allegations Against Richard Routie in Orlando, FL FINRA has initiated an investigation into Richard Routie of Orlando, Florida, regarding allegations that he “borrowed” money from customers. In response, he refused to appear for an on-the-record interview, which led to him being barred from the securities industry. Richard Routie Industry History Richard S. Routie was affiliated…
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If you lost money with James Holmes of Wells Fargo in North Carolina, contact Israels & Neuman at 720-599-3505. Allegations Regarding James Eugene Holmes III FINRA brought an investigation into James Holmes of Wells Fargo in Winston-Salem, North Carolina regarding allegations that he engaged in an unsuitable options trading strategy with a client. FINRA further…
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Call Israels & Neuman at 720-599-3505 if you feel you lost money with Mark Allen Carter of Pruco Securities. Allegations Regarding Mark Carter’s Suspension FINRA has bought a regulatory action against Mark Carter, formerly with Pruco Securities in Charlotte, North Carolina. FINRA alleged that he recommended that a couple engage in options trading that was…
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Allegations Against George N. Jing FINRA opened an investigation into George N. Jing after he was terminated by his former brokerage firm, TransAmerica Financial Advisors. According to a regulatory document called a Form U-5, TransAmerica disclosed that Jing was discharged for his alleged participation “in an undisclosed outside business activity and/or an undisclosed private securities…
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FINRA Allegations Against George Cairnes According to FINRA’s Disciplinary Database, George Cairnes of Wells Fargo in Houston, TX was named in a FINRA Enforcement action. FINRA alleged that Cairnes engaged in an undisclosed outside business activity with a customer of Wells Fargo without providing prior notice to his firm. In particular, Cairnes was alleged to…
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Were you a client of Leroy Born, formerly at Wells Fargo? We are looking into claims involving Leroy Born, who formerly was a representative with Wells Fargo and worked in a Tustin, California office. Born was discharged by Wells Fargo in June 2025. Wells Fargo’s Allegations Regarding Firing Leroy Born FINRA’s BrokerCheck discloses the reasons…
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