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…
Continue reading ›Schad Brannon with United Capital Management, Sued by SEC over DEBT Box LOS ANGELES, CALIFORNIA Have you lost money with investment adviser Schad Brannon of Los Angeles, California? We are reviewing allegations raised by the Securities and Exchange Commission (SEC) against Schad Brannon. The SEC alleged that Schad Brannon was involved in DEBT Box, a…
Continue reading ›Vincent Pucciarelli, formerly with Investment Center, Barred by FINRA WOODBRIDGE, NEW JERSEY Are you a former client of financial advisor Vincent Pucciarelli? We are reviewing claims made against Vincent Pucciarelli Jr. from Woodbridge, New Jersey. FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry when he did not respond to a FINRA…
Continue reading ›Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…
Continue reading ›Moors and Cabot Advisor Damian Baird Suspended by FINRA WILLIAMSVILLE, NEW YORK Financial advisor Damian Baird has been indefinitely suspended by FINRA, as of June 2023. Damian Mark Baird, who previously worked with Moors & Cabot and Morgan Stanley in Williamsville, NY failed to respond to a FINRA investigation, which led to the suspension. An…
Continue reading ›Christopher Harrington, Formerly with Laidlaw & Company, Suspended NEW YORK, NY Are you a former client of financial advisor Christopher Harrington, who had been a representative of Laidlaw & Company in New York, New York? Our investment fraud law firm is looking into allegations made against Christopher Harrington. FINRA’s BrokerCheck shows that Christopher Harrington was…
Continue reading ›Israels & Neuman, PLC Investigates Archibald McMichael aka Bill McMichael, Formerly with Lifemark Securities WAYNE, PENNSYLVANIA Have you lost money with financial advisor Archibald McMichael, also known as Bill McMichael, formerly with Lifemark Securities in Wayne, Pennsylvania? We are looking into allegations made against Bill McMichael. He has been the subject of a recent customer…
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