Aegis Capital Corp. Advisor Arkady Ginsburg Suspended Six Months by FINRA NEW YORK, NY The investment fraud and securities arbitration law firm is reviewing allegations made by FINRA (the Financial Industry Regulatory Authority) against Arkady Ginsburg, with Aegis Capital Corp. in New York, NY. Ginsburg, who had been with Aegis Capital Corp. from July 2014…
Continue reading ›Michael Giannetti, formerly with MML Investors Services, Barred by FINRA McKINNEY, TEXAS Have you invested with financial advisor Michael Giannetti of McKinney, Texas? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Giannetti. In 2022, FINRA barred him from…
Continue reading ›David McDonnell, Formerly with TCFG Wealth Management, Barred by FINRA For Failing to Respond to an Investigation LAGUNA BEACH, CALIFORNIA Have you lost money with financial advisor David McDonnell, formerly with TCFG Wealth Management? Our securities arbitration law firm is reviewing allegations made about David McDonnell. In March 2022, FINRA (the Financial Industry Regulatory Authority)…
Continue reading ›FINRA Bars David Stevens, Formerly with Park Avenue Securities, Regarding Loans from Insurance Policies LA JOLLA, CALIFORNIA Have you lost money investing with David Stevens, formerly with Park Avenue Securities? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against David Stevens, who previously worked with Park Avenue Securities…
Continue reading ›Michael Muratore, Formerly with J.P. Morgan Securities, Suspended Two Years From Securities Industry ARDSLEY, NEW YORK The securities fraud and arbitration law firm of Israels & Neuman is looking into allegations made against former J.P. Morgan Securities financial advisor Michael Muratore from Ardsley, New York. Muratore was under a regulatory investigation by FINRA, the Financial…
Continue reading ›Marc Reda, Formerly with Spartan Capital Securities, Barred from Securities Industry NEW YORK, NY We are continuing to look into the regulatory complaint made by FINRA, the Financial Industry Regulatory Authority, against Marc Reda. In 2021, FINRA brought an action, alleging that Reda made unsuitable recommendations by excessively trading (or churning) customers’ accounts. Reda had…
Continue reading ›Two Customer Complaints Made Against Former First Allied Securities Involving Joseph Langlois SAN DIEGO, CALIFORNIA Have you lost money investing in real estate investments with Joseph Langlois? The securities fraud and arbitration law firm of Israels & Neuman is looking into allegations made against the former First Allied Securities advisor in San Diego, California. According…
Continue reading ›Geneos Wealth Management Settles with FINRA for Over $400,000 Regarding Sales of LJM Preservation & Growth Fund and GPB Capital Did you lose money ith Geneos Wealth Capital, investing in the LJM Preservation & Growth Fund (ticker LJMIX, LJMCX, and LJMAX) or GPB Capital?? You may be able to recover money. The securities arbitration law…
Continue reading ›FINRA Bars Paul Koch, Formerly with RBC Capital Markets and UBS Financial Services, Regarding Wife’s Business WAYZATA, MINNESOTA Our securities arbitration law firm is reviewing allegations made against Paul Koch, who previously worked with RBC Capital Markets and UBS Financial Services in Wayzata, Minnesota. FINRA (the Financial Industry Regulatory Authority) brought an administrative action against…
Continue reading ›Donovan Kelly from Billings, Montana Suspended Seven Months From Securities Industry BILLINGS, MONTANA Have you lost money investing with Donavan Kelly of Independent Financial Group? The investment fraud law firm of Israels & Neuman is looking into allegations made against Kelly from Billings, Montana. He was under investigation by FINRA, which is responsible for regulating…
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