JULIE DARRAH of Wealth Enhancement Advisory Fired for FRAUD
Julie Darrah Fired for Fraud by Wealth Enhancement Advisory Services ORCUTT, CALIFORNIA Have you invested with investment adviser Julie Darrah from Orcutt, California? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Julie Darrah, also known as Julie Banuelos. According to AdvisorInfo, a website maintained by the SEC, … Read More "JULIE DARRAH of Wealth Enhancement Advisory Fired for FRAUD"
Leo Chien, with Cetera Investment Services, Subject of Several Complaints SAN GABRIEL, CALIFORNIA Have you invested with Leo Chien from San Gabriel, California? Our securities arbitration law firm is reviewing claims made by former clients of Leo Li-Yuan Chien, with Cetera Investment Services. Mr. Chien has been a registered representative of Cetera Investment Services since … Read More "Complaints Against LEO CHIEN of Cetera Investment Services"
Advisor Sean Carnell Smith Fired by Edward Jones LOUISVILLE, KENTUCKY Are you a former customer of Sean Carnell Smith, formerly with Edward Jones, in Louisville, Kentucky? His BrokerCheck Report (See PDF below) shows that he was fired by Edward Jones in August 2023. Sean Smith had been licensed with Edward Jones since February 2018. FINRA’s … Read More "SEAN CARNELL SMITH of Edward Jones is FIRED"
Robert Dechick with DH Hill Securities Subject of Complaints CLERMONT, FLORIDA Have you invested in REITs through DH Hill Securities? Our securities arbitration law firm is looking into claims made against advisor, Robert Dechick of Clermont, Florida. Mr. Dechick has been the subject of five customer complaints since 2020, including two complaints that were made … Read More "ROBERT DECHICK of DH Hill Securities Subject of COMPLAINTS"
Todd Lesk Formerly with Cambridge Investment Research Barred CORAL SPRINGS, FLORIDA Did you invest with advisor Todd Lesk in Coral Springs, Florida? Israels & Neuman is reviewing claims made against Todd M. Lesk, formerly with Cambridge Investment Research. In October 2023, FINRA’s Disciplinary Database shows that he was barred from the securities industry. FINRA began … Read More "TODD LESK of Cambridge Investment is BARRED"
Jorge Hernandez Barred from Securities Industry GLENDORA, CALIFORNIA Have you invested with stockbroker Jorge Hernandez in Glendora, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Jorge Hernandez, who previously worked with Gradient Securities. FINRA’s Disciplinary Database discloses that he was barred from the securities industry by … Read More "JORGE HERNANDEZ of Gradient Securities is BARRED"
Yong Chang with Independent Financial Group Subject of Two Complaints SEATTLE, WASHINGTON Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group. Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as … Read More "YONG CHANG of Independent Financial Subject of COMPLAINTS"
James Pelletiere, formerly with Pruco Securities, Barred by FINRA DOWNERS GROVE, ILLINOIS Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he … Read More "JAMES PELLETIERE of Pruco Securities is BARRED"
Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales NEW HAVEN, CT Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual. … Read More "JUSTIN MAHER of Northwestern Mutual is SUSPENDED"
John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint COLUMBIA, MARYLAND Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David … Read More "COMPLAINTS Against JOHN SULLIVAN of Brokers International Financial"