Hector Hernandez Barred from Securities Industry SAN ANTONIO, TEXAS Are you a client of financial advisor Hector Hernandez in San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Hector J. Hernandez, who previously worked with Money Concepts Capital. FINRA’s Disciplinary Database discloses in November 2023,…
Continue reading ›Richard Michalski with Laidlaw & Company Suspended by SEC NEW YORK, NY Did you lose money with financial advisor Richard Michalski with Laidlaw & Company in New York City, New York? He was recently under investigation by the Securities and Exchange Commission (SEC). The SEC alleged that Richard Michalski engaged in excessive trading or churning.…
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Cambridge Investment Research Advisor Ed Mercer Barred by FINRA CORAL SPRINGS, FLORIDA Are you a former client of Edward Steven Mercer in Coral Springs, Florida? Ed Mercer was barred by FINRA earlier this month. He previously worked with Cambridge Investment Research and LPL Financial and failed to respond to a FINRA investigation. This ultimately led…
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Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000. FINRA alleged that Fisher circumvented compliance procedures with…
Continue reading ›Kevin Kelly, with Avantax Investment Services, Subject of Customer Complaints ATLANTA, GEORGIA Have you invested with stockbroker Kevin Lawrence Kelly from Atlanta, Georgia? We are looking into two complaints made by former customers who filed claims against his brokerage firm, Avantax Investment Services. Since August 2023, Avantax Investment Services has faced two customer complaints, both…
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Centaurus Financial advisor Michael Hamilton Under SEC Investigation BOCA RATON, FLORIDA Are you a current or former customer of advisor Michael Hamilton also known as Michael Young Hamilton, with Centaurus Financial in Fort Myers, Florida? He has been with Centaurus Financial since October 2015 and is under investigation by the Securities and Exchange Commission (SEC)…
Continue reading ›Robert Marquez Barred from Securities Industry SMITHTOWN, NEW YORK Did you invest with financial advisor Robert Marquez of Investment Network in Smithtown, New York? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Robert Marquez also known as Bob Marquez. FINRA’s Disciplinary Database discloses in November 2023, that…
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James Williams with Newbridge Securities Subject of Six Complaints BOCA RATON, FLORIDA Did you invest with financial advisor James Williams from Boca Raton, Florida? Our investment fraud law firm is reviewing allegations made by his clients. He has been licensed with Newbridge Securities since 2010. James Earl Williams is the subject of 6 customer complaints,…
Continue reading ›Debbie Cavanaugh with Centaurus Financial Investigated by SEC KALISPELL, MONTANA Did you lose money with financial advisor Debbie Cavanaugh with Centaurus Financial in Kalispell, Montana? She is also known as Debbie Lee McKenna Cavanaugh and was recently the subject of an investigation by the SEC for potentially violating Regulation Best Interest. The Securities and Exchange…
Continue reading ›Next Financial Group Advisor Farid Farhoumand Subject of Recent Complaint FORT WAYNE, INDIANA Are you a current or former client of financial advisor Farid Farhoumand from Fort Wayne, Indiana? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Farid Farhoumand, who has worked with Next…
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