Raymond James Fires Christopher Baugh for Outside Business Activities MIRAMAR, FLORIDA Have you invested with advisor Christopher Baugh from Miramar, Florida? This advisor has been fired by his brokerage firm, Raymond James, in March 2024. He was under internal investigation for allegations that Baugh engaged in conduct inconsistent with firm policies applicable to outside business…
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Michael Young, with Classic Asset Management, Subject of Customer Complaint FARGO, NORTH DAKOTA Have you lost money with financial advisor Michael Young of Fargo, North Dakota? Our law firm is looking into claims made by a customer of Young, who provided investment advisory services through Classic Asset Management. According to the complaint, he was negligent…
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Former Ameriprise Financial Services Advisor Cynthia Beyerlein Suspended LANCASTER, PENNSYLVANIA Have you invested with financial advisor Cynthia Beyerlein from Lancaster, Pennsylvania? She was suspended for eight months by FINRA. FINRA began its investigation of Beyerlein after she was fired by her brokerage firm, Ameriprise Financial Services. She was under internal investigation by Ameriprise Financial Services,…
Continue reading ›Kyle Baker, Formerly with First Trust Portfolios, Barred from Securities Industry WHEATON, ILLINOIS Are you a former client of Kyle Baker in Wheaton, Illinois? Israels & Neuman is looking into allegations against Baker, who previously worked with First Trust Portfolios. In April 2024, Baker was barred from the securities industry by FINRA, according to FINRA’s…
Continue reading ›Former Cantella & Co. advisor Robert Gleason Suspended OWENSBORO, KENTUCKY Are you a former customer of stockbroker Robert Gleason Jr., formerly with Cantella & Co. in Owensboro, Kentucky? Gleason, who was affiliated with Cantella & Co. from November 2016 to December 201, was under investigation by the Financial Industry Regulatory Authority (FINRA) for potentially violating…
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Paul Trimber, Formerly with Wells Fargo, Barred ALEXANDRIA, VIRGINIA Did you invest with Paul Trimber in Alexandria, Virginia? The securities and investment fraud law firm of Israels & Neuman is investigating claims made against this advisor, who previously worked with Wells Fargo. He was recently expelled from the securities brokerage industry by FINRA after he…
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Juan Sosa Formerly with SagePoint Financial is Barred STUDIO CITY, CALIFORNIA Are you a former client of Juan Sosa in Studio City, California? The securities and investment fraud law firm of Israels & Neuman is investigating claims made against Juan Sosa, formerly with SagePoint Financial and Independent Financial Group. It has been alleged that Sosa…
Continue reading ›Warrant Issued for Former Royal Fund Management Advisor William Berg WAUKEE, IOWA Did you invest with William Berg, also known as Bill Berg, formerly with Royal Fund Management? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against this advisor. In March 2024, a federal arrest warrant was…
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Matthew Chimento Barred from Securities Industry ALPHARETTA, GEORGIA Are you a former client of financial advisor Matthew Chimento in Alpharetta, Georgia? Israels & Neuman is reviewing allegations against this broker, who previously worked with Morgan Stanley (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database. In November 2023, Matthew…
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Jae Kim Formerly with E1 Asset Management Barred CORTLANDT MANOR, NEW YORK Have you lost money investing with financial advisor Jae Kim in Cortlandt Manor, New York? After Jae Kim failed to respond to FINRA’s inquiry, he was barred from the securities industry. FINRA Rule 8210 states that licensed advisors are required to respond to…
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