OCONOMOWOC, WISCONSIN Have you lost money in mutual funds with financial advisor Todd Sivak, formerly with MML Investors Services in Oconomowoc, Wisconsin? Our securities arbitration firm is looking into allegations made against Todd W. Sivak. Sivak has been the subject of a customer complaint that was made against Sivak’s former firm, MML Investors Services, in…
Continue reading ›RICHMOND, VIRGINIA Have you invested with financial advisor Warren Rowe of Richmond, Virginia? Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Warren E. Rowe, Jr. FINRA barred Rowe from the securities industry after he failed to respond to an investigation. Rowe was alleged to have borrowed money from…
Continue reading ›ELIZABETH, NEW JERSEY Have you lost money in structured financial products with financial advisor John Donoso, formerly with Cetera Advisors in Elizabeth, New Jersey? Our securities and investment fraud law firm is looking into allegations made against John Donoso, who has been the subject of two customer complaints, one of which was made in December…
Continue reading ›COLD SPRING, MINNESOTA Have you lost money with financial advisor Scott Jason Lee, formerly of Moloney Securities in Cold Spring, Minnesota? Our firm is continuing to look at allegations made against Scott Lee. In April 2021, Scott Lee has been the subject of a customer complaint, where the customer alleged that Lee sold them an…
Continue reading ›MAITLAND, FLORIDA Have you lost money with financial advisor Sean Casterline, formerly with Delta Securities Company (formerly Maitland Securities) in Maitland, Florida? Our law firm is reviewing allegations made by FINRA against Casterline. FINRA investigated Casterline regarding allegations that he sold investments in an entity that was raising capital to develop and operate senior living…
Continue reading ›MELVILLE, NY Have you lost money with financial advisor Steven Thompson, formerly with SW Financial? Steven William Thompson of Melville, New York was terminated from SW Financial in December 2021 regarding allegations that he received a loan from a client and also used non-approved methods of communication. Steven Thompson was with SW Financial (formerly Salomon…
Continue reading ›CLEARWATER, FLORIDA Have you lost money with financial advisor Tarek Mohamed of Clearwater, Florida? Our law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Tarek Mohamed. FINRA filed a complaint against Mohamed, alleging that he failed to respond to an investigation. The complaint against Mohamed alleges that clients funds were…
Continue reading ›MELVILLE, NEW YORK Have you lost money with financial advisor Joseph Todaro, formerly with SW Financial in Melville, New York? Todaro was recently discharged from SW Financial regarding allegations that he used non-approved methods of communication after written reprimands from the firm. Todaro has also been the subject of five customer complaints, some of which…
Continue reading ›TAMPA, FLORIDA Have you lost money with financial advisor Michael Nixon, formerly with Paulson Investment Company in Tampa, Florida? We are looking into allegations made against Michael P. Nixon. Nixon has been the subject of an investigation by FINRA. FINRA investigated Nixon regarding allegations that he sold unsuitable investments in Steepener Notes. FINRA alleged that…
Continue reading ›TOLEDO, OHIO Have you lost money with financial advisor Rita Mansour Of McDonald Partners in Toledo, Ohio? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Rita Mansour. The SEC alleged that Mansour sold investments in two pooled investment vehicles, the purpose of which was to then invest in a…
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