Israels & Neuman, PLC | Blog | Securities & Investment Fraud Law Firm

SEARCH OUR BLOGS

9

Nov

ROBERT MARQUEZ of Investment Network is BARRED

Losses with Robert Marquez of Investment Network in Smithtown, NY

Robert Marquez Barred from Securities Industry SMITHTOWN, NEW YORK Did you invest with financial advisor Robert Marquez of Investment Network in Smithtown, New York? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Robert Marquez also known as Bob Marquez. FINRA’s Disciplinary Database discloses in November 2023, that …
Read More

9

Nov

JAMES WILLIAMS of Newbridge Subject of SIX COMPLAINTS

Losses with James Williams of Newbridge Securities in Boca Raton, FL

James Williams with Newbridge Securities Subject of Six Complaints BOCA RATON, FLORIDA Did you invest with financial advisor James Williams from Boca Raton, Florida? Our investment fraud law firm is reviewing allegations made by his clients. He has been licensed with Newbridge Securities since 2010. James Earl Williams is the subject of 6 customer complaints, …
Read More

6

Nov

DEBBIE CAVANAUGH of Centaurus Financial Subject of INVESTIGATION

Losses with Debbie Cavanaugh of Centaurus Financial in Kalispell, MT

Debbie Cavanaugh with Centaurus Financial Investigated by SEC KALISPELL, MONTANA Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest. The Securities and Exchange …
Read More

6

Nov

FARID FARHOUMAND of Next Financial Subject of BDC COMPLAINTS

Losses with Farid Farhoumand of Next Financial in Fort Wayne, IN

Next Financial Group Advisor Farid Farhoumand Subject of Recent Complaint FORT WAYNE, INDIANA Are you a current or former client of financial advisor Farid Farhoumand from Fort Wayne, Indiana? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Farid Farhoumand, who has worked with Next …
Read More

2

Nov

PHILIP RIPOSO of United Planners Financial is FIRED

Losses with Philip Riposo of United Planners in New Bedford, MA

Philip Riposo Fired By United Planners Financial Services NEW BEDFORD, MASSACHUSETTS and CAVE CREEK, ARIZONA Have you lost money with Philip Riposo, a financial advisor formerly with United Planners Financial Services in New Bedford, Massachusetts? Riposo was recently discharged by United Planners Financial Services, regarding allegations that he created fake statements from Zurich Kemper Investments …
Read More

2

Nov

GARY COSTELLO of Truist Investment is FIRED

Losses with Gary Costello of Truist Investment in Palm Beach, FL

Gary Costello Fired by Truist Investment Services PALM BEACH, FLORIDA Are you a present or former customer of Gary Costello, formerly with Truist Investment Services, in Palm Beach, Florida and also formerly with Oppenheimer in Boca Raton? FINRA recently reported that Gary Costello was fired by Truist Investment Services in August 2023. Costello had been …
Read More

1

Nov

ANDREW SCHELL of DA Davidson 19 Customer COMPLAINTS

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO

Andrew Schell with D.A. Davidson Subject of 19 Complaints COLORADO SPRINGS, COLORADO Did you invest with Andrew Schell from Colorado Springs, Colorado? Our investment fraud law firm is reviewing allegations made by clients of Andrew Schell, formerly with D.A. Davidson. Mr. Schell had been a financial advisor of D.A. Davidson from January 2020 to March …
Read More

31

Oct

SCOTT ROSLONOWSKI of Ameriprise Subject of COMPLAINTS

Losses with Kevin Lawrence Kelly of Avantax in Atlanta, GA

Scott Roslonowski with Ameriprise Financial Services Subject of Complaints INDIAN HARBOUR BEACH, FLORIDA Have you invested in REITs through Scott Roslonowski at Ameriprise Financial Services in Harbour Beach, Florida? He has been with Ameriprise Financial Services since October 2009. Scott Roslonowski has been the subject of two customer complaints during 2023 – one made in …
Read More

31

Oct

ROBERT LULEY of Pruco Securities is SUSPENDED

Losses with Robert Luley of Pruco Securities in Charlotte, NC

Pruco Securities Advisor Robert Luley Suspended by FINRA CHARLOTTE, NORTH CAROLINA Robert Luley also known as Rob Leo Luley, has been indefinitely suspended by FINRA, as of August 2023. He previously worked with Pruco Securities and Madison Avenue Securities, and failed to respond to a FINRA investigation. See his BrokerCheck Report attached below. This ultimately …
Read More

20

Oct

BEAU BAYS of LPL Financial Under Investigation for FORGERY

Losses with Beau Bays of LPL Financial in Plano, TX

FINRA Investigates Beau Bays, Formerly with LPL Financial PLANO, TEXAS Are you a former client of stockbroker Beau Bays also known as Beliveau Bays in Plano, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Bays, who previously worked for LPL Financial. FINRA’s Disciplinary Database reveals that …
Read More

Call for a Free Consultation

(720) 599-3505

ROBERT MARQUEZ of Investment Network is BARRED

SEARCH OUR BLOGS

9

ROBERT MARQUEZ of Investment Network is BARRED

9

JAMES WILLIAMS of Newbridge Subject of SIX COMPLAINTS

6

DEBBIE CAVANAUGH of Centaurus Financial Subject of INVESTIGATION

6

FARID FARHOUMAND of Next Financial Subject of BDC COMPLAINTS

2

PHILIP RIPOSO of United Planners Financial is FIRED

2

GARY COSTELLO of Truist Investment is FIRED

1

ANDREW SCHELL of DA Davidson 19 Customer COMPLAINTS

31

SCOTT ROSLONOWSKI of Ameriprise Subject of COMPLAINTS

31

ROBERT LULEY of Pruco Securities is SUSPENDED

20

BEAU BAYS of LPL Financial Under Investigation for FORGERY