Allen Hershberg, Formerly with Morgan Stanley, Barred from Securities Industry BEVERLY HILLS, CALIFORNIA Are you a former client of financial advisor Allen Hershberg in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against Allen Israel Hershberg. According to FINRA, Mr. Hershberg was recently barred from the securities industry by FINRA…
Continue reading ›Attorney David Neuman Is Published in the Securities Arbitration Alert An article co-written by Israels & Neuman co-founder David Neuman was published on the Securities Arbitration Alert blog recently. The co-authors of the article were fellow PIABA members Courtney Werning, Jorge Riera, and Michael Edmiston. The article, which is entitled “Arbitration of Investor Claims in…
Continue reading ›David Snavely, Formerly of Cetera Advisors, Fined $15,000 by Washington DES MOINES, WASHINGTON Our law firm is looking into allegations made against David Snavely, formerly with Cetera Advisors in Des Moines, Washington, by the Washington Department of Financial Institutions. According to the Consent Order entered into by Washington and Snavely, he was alleged to have…
Continue reading ›Hans Eveillard, Formerly with Northwestern Mutual, Barred by FINRA SARASOTA, FLORIDA Are you a former client of financial advisor Hans Eveillard, formerly with Northwestern Mutual in Sarasota, Florida? Our law firm is reviewing a securities regulatory action filed by FINRA against Hans Eveillard. Mr. Eveillard was barred by FINRA from the securities brokerage industry after…
Continue reading ›Christopher Polinaire, Formerly with Arive Capital Markets, Suspended RONKONKOMA, NEW YORK Did you lose money with financial advisor Christopher Polinaire, who previously worked with Arive Capital Markets in Ronkonkoma, New York? Our investment fraud law firm is looking into claims made against Christopher Polinaire. According to FINRA’s website, FINRA investigated whether Polinaire had been excessively…
Continue reading ›Attorney David Neuman Is Quoted Again in Financial Planning Article, This Time Regarding Regulation Best Interest For the second time in a few months, Attorney David Neuman has been quoted in an article on Financial-Planning.com. The article was written by Tobias Salinger. In particular, the article discusses issues with Regulation Best Interest, which went into…
Continue reading ›Mickey Schreiber, with Aegis Capital, Suspended by FINRA RED BANK, NEW JERSEY Have you been a client of financial advisor M.B. Mickey Schreiber, with Aegis Capital in Red Bank, New Jersey? Our securities arbitration firm is looking into allegations made by FINRA against Mickey Schreiber, who was recently suspended by FINRA for three months and…
Continue reading ›Dia Howell, Formerly with U.S. Bancorp Investments, Barred COEUR D’ ALENE, ID Are you a former client of advisor Dia Howell, formerly with U.S. Bancorp Investments in Coeur D’Alene, Idaho? The Oregon Division of Financial Regulation bought a regulatory action against Dia Howell. Back in 2020, Howell was under an investigation by FINRA, which she…
Continue reading ›Carlos Leston, Formerly with LPL Financial, Barred from Securities Industry WEEHAWKEN, NEW JERSEY Are you a former client of financial advisor Carlos Leston in Weehawken, New Jersey? Israels & Neuman is looking into claims made against Jose Carlos Leston. According to FINRA’s Disciplinary Database, Leston was recently barred from the securities industry by FINRA after…
Continue reading ›Shirley Wong, Formerly with NI Advisors, Subject of GWG Complaints DALY CITY, CALIFORNIA Have you lose money while investing with financial advisor Shirley Wong from Daly City, California? Our investment fraud law firm is looking into claims made against Shirley Wong, who has been licensed with NI Advisors since 2014. A review of Shirley Wong’s…
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