Ricardo Rose, with Arive Capital Markets, Subject of Customer Complaints STATEN ISLAND, NEW YORK Were you a customer of advisor Ricardo Rose, with Arive Capital Markets in Staten Island, New York? Ricardo Rose also known as Richard Rose, has been in the securities industry since 2000 and has been the subject of four customer complaints.…
Continue reading ›Michael Raineri of Securities America and KMS Financial is Barred from the Securities Industry SEATTLE, WASHINGTON Are you a former customer of Michael Raineri in Seattle, Washington? Our Seattle securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Michael Raineri, who was recently affiliated with Securities America. Michael…
Continue reading ›Brian Wurdemann, Formerly with RBC Capital Markets, Barred by FINRA NEW YORK, NY Did you lose money with financial advisor Brian Wurdemann, formerly with RBC Capital Markets in New York, New York? Mr. Wurdemann was barred by FINRA after he failed to comply with an arbitration award, and was sued by his former brokerage firm,…
Continue reading ›Rene Bolivar, Formerly with First Allied Securities, Barred from Securities Industry SALINAS, CALIFORNIA Did you invest with stockbroker Rene Bolivar in Salinas, California? Our securities arbitration firm is reviewing claims made against Rene Bolivar. FINRA’s Disciplinary Database reveals that in April 2023, he was barred from the securities industry by FINRA, because he failed to…
Continue reading ›Former Coastal Equities Advisor Lorraine Gallette Subject of Several Complaints EL DORADO SPRINGS, MISSOURI Did you invest in alternative investments with financial advisor Lorraine Gallette in El Dorado Springs, Missouri? The securities and investment fraud law firm of Israels & Neuman is looking into Lorraine Gallette, an advisor formerly with Coastal Equities and Moloney Securities.…
Continue reading ›Mark Elias, with UBS Financial Services, Subject of Customer Complaints HOUSTON, TEXAS Did you lose money with advisor Mark Elias, of UBS Financial Services in Houston, Texas? Elias has been the subject of four customer complaints since 2019, including two that are pending. A review of his BrokerCheck report reveals that the two pending cases…
Continue reading ›Patrick Thayer, Formerly with Parkland Securities and LPL Financial, Barred from Securities Industry LEBANON, OHIO Have you lost money with stockbroker Patrick Thayer in Lebanon, Ohio? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Patrick Thayer, who previously worked with Parkland Securities and LPL Financial. In…
Continue reading ›Leslie Kern, Formerly with D.H. Hill Securities, Subject of Customer Complaints WILMINGTON, NORTH CAROLINA Are you a client of Leslie Kern, with D.H. Hill Securities in Wilmington, North Carolina? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Leslie Howard Kern. BrokerCheck reveals that Kern was…
Continue reading ›Customer Complaint Pending Against Crown Capital Securities Involving Gregory Barson LAS VEGAS, NEVADA Were you a former customer of financial advisor Gregory Barson? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against former Crown Capital Securities advisor Gregory Barson, in Las Vegas, Nevada. According to FINRA’s BrokerCheck,…
Continue reading ›Alvery Bartlett, Formerly with Berthel Fisher, Subject of Six Complaints ST. LOUIS, MISSOURI Did you have investments with financial advisor Alvery Bartlett, who had been an advisor with Berthel Fisher in St. Louis, Missouri? The securities and investment fraud law firm of Israels & Neuman is examining allegations made by customers of Alvery A. Bartlett,…
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