Yong Chang with Independent Financial Group Subject of Two Complaints SEATTLE, WASHINGTON Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group. Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as…
Continue reading ›James Pelletiere, formerly with Pruco Securities, Barred by FINRA DOWNERS GROVE, ILLINOIS Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he…
Continue reading ›Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales NEW HAVEN, CT Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual.…
Continue reading ›John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint COLUMBIA, MARYLAND Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David…
Continue reading ›PTS Brokerage Advisor Ronald Smith Expelled MOORESTOWN, NEW JERSEY Are you a former client of financial advisor Ronald Smith, formerly with PTS Brokerage? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made regarding Ronald Burton Smith who worked in a Moorestown, New Jersey office. FINRA (the Financial Industry Regulatory…
Continue reading ›Christopher Cavallaro, Formerly with Lincoln Financial Advisors, Subject of Customer Complaints FALMOUTH, MASSACHUSETTS Have you invested with Christopher Cavallaro from Falmouth, Massachusetts? The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who have filed claims against Christopher Cavallaro’s former brokerage firm, Lincoln Financial Advisors.…
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ANN ARBOR, MICHIGAN Are you a former client of Patty Dawson, formerly with Stifel Nicolaus and Company in Ann Arbor, Michigan? Patty Jane Dawson was a registered representative of Stifel Nicolaus from August 2005 to October 2023. She is no longer licensed or employed by Stifel Nicolaus and has purportedly retired. You may be able…
Continue reading ›Louis Goff with Wells Fargo Charged by SEC SALT LAKE CITY, UTAH Did you lose money with financial advisor Louis Goff with Wells Fargo in Salt Lake City, Utah? Louis Peter Goff was recently charged with fraud by the Securities and Exchange Commission (SEC). The SEC filed a complaint against Goff and several other co-defendants,…
Continue reading ›Pierre Hilario, formerly with SW Financial, Barred by FINRA MELVILLE, NEW YORK Did you invest in private placements with financial advisor Pierre Hilario, formerly with SW Financial? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made regarding Pierre Hilario from Melville, New York. FINRA (the Financial Industry Regulatory…
Continue reading ›Robert Silvestri Fired by Level Four Advisory ALLEN, TEXAS Are you a former client of Robert Silvestri, formerly with Level Four Advisory in Allen, Texas? Silvestri was terminated by Level Four Advisory in November 2022. The termination came after he borrowed money from a customer. He was subsequently terminated by his next brokerage firm, Aegis…
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