Clarice Saw, Formerly with Cetera Investment Services, Charged by SEC FLUSHING, NEW YORK Did you lose money with financial advisor Clarice Saw, formerly with Cetera Investment Services in Flushing, New York? Saw was recently charged with fraud by the Securities and Exchange Commission (SEC). According to the SEC press release, Clarice Saw had misappropriated $2.4…
Continue reading ›Nathan Paulson, Formerly with APW Capital, Subject of Customer Complaint WHEATON, ILLINOIS Did you lose money with advisor Nathan Paulson, formerly with APW Capital in Wheaton, Illinois? Nathan R. Paulson, who previously was licensed with APW Capital, was the subject of a customer complaint filed in June 2023. The customer filed the case in FINRA…
Continue reading ›Gianluca De Berardinis Allowed to Resign By Morgan Stanley NEW YORK, NY Are you a former client of financial advisor Gianluca De Berardinis in New York City? According to FINRA’s BrokerCheck website, he voluntarily “resigned” from his brokerage firm, Morgan Stanley in June. According to BrokerCheck, Gianluca De Berardinis was alleged to have been involved…
Continue reading ›William Horak, with Purshe Kaplan Sterling, Subject of GWG Complaints TALLAHASSEE, FLORIDA Have you invested in GWG L bonds or the ARC Hospitality Trust through Purshe Kaplan Sterling? Our securities arbitration law firm is looking into claims made against William Horak who has been with Purshe Kaplan Sterling since May 2014. William Horak has been…
Continue reading ›Advisor John Jay Kersey Permitted to Resign By Northwestern Mutual CINCINNATI, OHIO Are you a former client of financial advisor John Jay Kersey in Cincinnati, Ohio? Mr. Kersey was “permitted to resign” by his former brokerage firm, Northwestern Mutual. According to his BrokerCheck report linked below, John Jay Kersey had been with Northwestern Mutual since…
Continue reading ›Shane Wilhelm, Formerly of Suntrust Investment, Suspended by FINRA MONETA, VIRGINIA Are you a former client of stockbroker Shane Wilhelm, formerly with Suntrust Investment Services and Fortune Financial Services in Moneta, Virginia? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations regarding Shane Wilhelm after FINRA (the Financial Industry…
Continue reading ›Eric Tartaglione, Formerly with Investment Network, Barred from Securities Industry WOODBRIDGE, NEW JERSEY Have you invested with stockbroker Eric Tartaglione in Woodbridge, New Jersey? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Mr. Tartaglione. In July 2023, FINRA’s Disciplinary Database shows that he was barred from the…
Continue reading ›Lynn Bryant, Formerly with LPL Financial, Barred from Securities Industry HURST, TEXAS The investment fraud and securities arbitration law firm of Israels & Neuman is looking into claims made by FINRA against Lynn Bryant, formerly with LPL Financial. Bryant, who worked in Hurst, Texas, was recently barred by FINRA from the securities industry after she…
Continue reading ›Roy Kevin Williams Fired by Stifel Nicolaus & Company INDIANAPOLIS, INDIANA Are you a former client of Roy Kevin Williams, formerly with Stifel Nicolaus & Company in Indianapolis, Indiana? Roy Kevin Williams was fired by Stifel Nicolaus & Company in May 2023. The brokerage firm alleged that Williams borrowed money from a customer between 2019…
Continue reading ›Murat Kartal (Marc Kartal), Formerly of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Murat Kartal, formerly with Spartan Capital Securities in New York, New York? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing claims made by FINRA against Murat “Marc” Kartal.…
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