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…
Continue reading ›MWA Financial Services Advisor Robert Stransky Expelled by FINRA LITTLETON, COLORADO Are you a former client of stockbroker, Robert Stransky from Littleton Colorado? He has been barred from the securities industry by FINRA. He previously worked with MWA Financial Services and failed to respond to FINRA’s investigation, which led to the expulsion. See Stransky’s BrokerCheck…
Continue reading ›Kevin Carroll Fired by LPL Financial GLASTONBURY, CONNECTICUT Are you a former client of Kevin Carroll, formerly with LPL Financial in Glastonbury, Connecticut? According to FINRA’s BrokerCheck website, Mr. Carroll was terminated by LPL Financial in July 2021, regarding allegations that he made transactions in a customers’ account without written authorization. FINRA has also brought…
Continue reading ›Richard Siminou, Formerly with Newbridge Securities Corp., Suspended by FINRA NEW YORK, NY Did you lose money with financial advisor Richard Siminou from New York, New York? The securities and investment fraud law firm of Israels & Neuman is looking into claims made by FINRA, against Richard Siminou, who was a representative of Newbridge Securities…
Continue reading ›Stephen Sperling, with Wintrust Investments, Subject of Several Complaints PALATINE, ILLINOIS Have you invested with Stephen Sperling from Palatine, Illinois? Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments. View his BrokerCheck Report HERE. Sperling has been a registered representative of…
Continue reading ›Richard Matheis, Formerly with Union Capital Company, Barred from Securities Industry OVERLAND PARK, KANSAS Have you invested with stockbroker Richard Matheis in Overland Park, Kansas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Richard Matheis. FINRA’s Disciplinary Database disclosed that he was barred from the securities…
Continue reading ›Equity Services Advisor Wesley Triani Expelled by FINRA HAUPPAUGE, NEW YORK Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here. Mr. Triani was the…
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