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…
Continue reading ›LPL Financial Fires Advisor John Dougherty BLUE BELL, PENNSYLVANIA Have you invested with financial advisor John Dougherty from Blue Bell, Pennsylvania? Our law firm is looking into allegations made against John Dougherty. John Dougherty was fired by LPL Financial in July 2023, according to his BrokerCheck Report (linked below). John A. Dougherty held his securities…
Continue reading ›Leslie Jackson, Formerly with Momentum Independent Network, Barred from Securities Industry DALLAS, TEXAS Have you invested with stockbroker Leslie Jackson also known as Les Don Jackson in Dallas, Texas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Leslie Jackson, formerly with Momentum Independent Network. FINRA’s Disciplinary…
Continue reading ›Keliikai Castillo Fired by UnionBanc Investment Services SEATTLE, WASHINGTON Are you a former client of Keliikai Castillo with UnionBanc Investment Services in Seattle, Washington? He was fired by UnionBanc Investment Services in July 2023. According to BrokerCheck, Castillo engaged in unreported outside business activities and private securities transactions. In simple terms, this means that he…
Continue reading ›Ron Filoramo, formerly with Morgan Stanley, Barred by FINRA FORT LAUDERDALE, FLORIDA Are you a former client of financial advisor Ron Filoramo, formerly with Morgan Stanley? FINRA (the Financial Industry Regulatory Authority) barred Filoramo from the securities industry when he did not respond to a FINRA investigation. According to FINRA’s BrokerCheck (attached below), Ron Filoramo…
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