Did you invest with financial advisor Thomas Duggan, formerly with Aegis Capital in Melville, New York? Our investment fraud law firm is reviewing claims made by former customers against this advisor.

Thomas Duggan has been the subject of nine customer complaints throughout his career, and eight of those complaints have been made since 2019. Many of the complaints allege that he breached his fiduciary duties and made unsuitable investment recommendations to customers. These cases settled for an aggregate of $1.3 million.

Thomas Duggan was a representative of Aegis Capital from January 2016 to May 2022. He worked in a Melville, New York office.

Israels & Neuman is an investment fraud law firm that represents clients throughout the U.S. We have represented over 1,000 investors against many different firms in the past, including against Aegis Capital.

You can find Thomas Duggan’s BrokerCheck Report HERE.

If you lost money with Thomas Duggan or Aegis Capital, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest with financial advisor Steven McCormick in Simi Valley, California? Israels & Neuman is looking into claims made by FINRA against this advisor, who was affiliated of Woodbury Financial Services from March 2019 to January 2024 and with Osaic Wealth from January 2024 to October 2024. He was recently barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

According to FINRA’s Letter of Acceptance, Waiver, and Consent (AWC), McCormick was the subject of a complaint made to FINRA, which led to an investigation. He acknowledged the FINRA investigation but said he would not comply.

Steven P. McCormick was registered with Woodbury Financial Services and Osaic Wealth. He worked in Simi Valley, California and was also the subject of a 2021 tax lien and a 2017 customer complaint.

Brokerage firms must reasonably monitor their financial advisors. If the firm fails to do so, they could be liable for investor losses.

View FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Steven McCormick, Woodbury Financial Services, or Osaic Wealth, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Have you lost money with financial advisor Michael Siek of New York, New York? This advisor was affiliated with Aegis Capital Corp. from December 2014 to April 2024 and worked in a New York City office.

Michael Siek has been the subject of six customer complaints, two of which were made in 2024. The 2024 complaints alleged that he recommended unsuitable stocks to his customers. The complaints were made in Iowa and southern California prior to being filed in FINRA arbitration.

FINRA Rule 2111 states that advisors must make suitable investment recommendations, based on the customer’s risk tolerance, investment objectives, age, and other factors. Failure to follow Rule 2111 could make Siek and/or Aegis Capital Corp. responsible for financial damages.

Israels & Neuman PLC is a securities and investment fraud law firm that represents investors throughout the nation. We have also sued dozens of different brokerage firms in the past, including Aegis Capital Corp.

Michael Siek’s BrokerCheck report can be found HERE

If you lost money with Michael Siek or Aegis Capital Corp., contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest with Jeffrey Perryman in Johnstown, Colorado? Israels & Neuman is reviewing claims made against this advisor, who previously worked with NY Life from 1900 to April 2024. He was barred by FINRA after he failed to respond to a FINRA investigation.

Jeffrey Perryman was being investigated by FINRA after he was terminated by New York Life in April 2024. He was alleged to have charged fees to an investment advisory customer for services that he failed to disclose to the brokerage firm. Perryman has also been the subject of four customer complaints in 2024.

Israels & Neuman has offices in Denver, Colorado; Seattle, Washington and Phoenix, Arizona. We represent customers throughout the state of Colorado, and attorney Aaron Israels is licensed to practice law in Colorado.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Jeffrey Perryman or New York Life, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you lose money investing in Old Greenwich Capital Partners Fund or the Four Seasons Fund through Jeffrey Arsenault? Jeffrey D. Arsenault was the subject of a civil complaint from the Securities and Exchange Commission (SEC).

The SEC alleged that Arsenault misappropriated millions of dollars from two funds that he operated: the Old Greenwich Capital Partners Fund (or OGCP Fund) and the OGCP Four Seasons Fund. The SEC alleged that he sold funds to cover his lavish lifestyle and to pay back tax liens.

Jeffrey Arsenault was registered with various firms in the securities industry, including J. Alden Associates, FNex Capital, and MCG Securities. Arsenault worked in Greenwich, Connecticut.

Brokerage firms like J. Alden Associates, FNex Capital, and MCG Securities must reasonably supervise the activities of their representatives. Our securities arbitration law firm represents clients all over the country, including investors throughout New England. We have represented over one thousand investors against numerous firms.

See Jeffrey Arsenault’s BrokerCheck report HERE

See the SEC Complaint against Jeffrey Arsenault HERE

If you lost money with Jeffrey Arsenault, Old Greenwich Capital Partners or the Four Seasons Fund, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Have you invested in REITs through D.H. Hill Securities? Our securities arbitration law firm is looking into claims made against this advisor, who has been with D.H. Hill Securities since 2009.

Robert Dechick has been the subject of five customer complaints since 2020, including two complaints that were made since July 2023. The two recent complaints both allege that Dechick recommended unsuitable investments in real estate investments, and one of the two complaints also complains about an equipment leasing investment. Both complaints are still pending.

Robert Dechick has worked in Clermont, Florida and has been in the securities industry since 2000. He is also affiliated with D.H. Hill Advisors, an investment advisory firm that is affiliated with D.H. Hill Securities.

You can see Robert Dechick’s BrokerCheck Report HERE.

If you lost money with Robert Dechick, D.H. Hill Securities or in real estate investments, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest with Santiago Torres, Jr., of Truist Investment Services in Willow Street, Pennsylvania? The securities and investment fraud law firm of Israels & Neuman is investigating claims made by FINRA (the Financial Industry Regulatory Authority) against this advisor. FINRA brought a complaint seeking to bar him from the securities industry.

FINRA began investigating Santiago Torres after he was terminated by Truist Investment Services. It was alleged that he misappropriated or stole money from customer accounts, many of whom were members of his extended family. He has yet to respond to FINRA’s complaint.

Santiago Torres was an advisor with Truist Investment Services from February 2021 to October 2024 in Willow Street and Wyomissing, Pennsylvania office. He has also been the subject of two other customer complaints.

FINRA Rule 8210 provides that advisors are required to respond to FINRA investigations. Additionally, under FINRA’s supervisory rules, securities brokerage firms must adequately supervise their representatives. If brokerage firms fail to provide sufficient supervision, the firms could be responsible for financial damages.

Our firm represents investors throughout the country who have lost money with financial advisors and brokerage firms.

You can find FINRA’s Complaint HERE

You can find Santiago Torres’s BrokerCheck Report HERE

If you lost money with Santiago Torres or Truist Investment Services, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest in GWG L bonds and other alternative investments with financial advisor Angelo Piccone, previously with IBN Financial Services in Pittsford, New York? The investment fraud and securities arbitration law firm of Israels & Neuman is currently examining claims filed by FINRA against this advisor. FINRA suspended him from the securities industry for five months, fined him $10,000, and ordered him to return $23,905 in commissions earned from selling GWG.

FINRA claims that Mr. Piccone advised a client to allocate 77% of their liquid net worth into alternative investments, including GWG, which was deemed speculative and inconsistent with the client’s moderate risk tolerance. In 2022, GWG declared bankruptcy, resulting in substantial losses for investors.

Angelo Piccone was affiliated with IBN Financial Services from April 2011 to November 2024, operating out of Pittsford, New York. He has also been implicated in three other customer complaints.

Israels & Neuman, an investment fraud and FINRA arbitration law firm , represents clients across the U.S., including New York investors.

To see the FINRA AWC against Angelo Piccone, please click HERE.

You can find Angelo Piccone’s BrokerCheck Report HERE.

If you lost money with Angelo Piccone, IBN Financial or GWG investments, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Are you a former client of financial advisor Carlton Fletcher in New York, New York? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against this advisor, who was a representative of Dinosaur Financial Group. He was booted from the securities brokerage industry when he failed to cooperate with a FINRA investigation.

Fletcher was under internal investigation by Dinosaur Financial Group when he resigned in April 2024. The FINRA AWC alleged that the internal investigation involved allegations that Fletcher converted funds of an individual.

Carlton Fletcher was registered with Dinosaur Financial Group from 2010 to April 2024 and worked in New York, New York. He also was the subject of a Utah Division of Securities investigation in 2000, as well as an NASD investigation in 2001.

Israels & Neuman represents investors throughout the country in cases involving financial advisors, securities brokerage firms, and investment advisory firms.

FINRA’s AWC Regarding Carlton Fletcher can be found HERE

Carlton Fletcher’s BrokerCheck Report can be found HERE

If you lost money with Carlton Fletcher or Dinosaur Financial Group, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest in Activision bonds with financial advisor Drew Matthew Peacock? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with Ameriprise Financial Services from October 2019 to April 2024 in Pensacola, Florida.

Drew Matthew Peacock (also known as Matt Peacock), has been the subject of six customer complaints, five of which were made in 2024. Each of the 2024 complaints makes allegations regarding corporate bonds that he purchased on behalf of customers. Specifically, some customers complained that Peacock purchased Activision bonds without their authorization during 2022 and 2023. According to BrokerCheck, Ameriprise has already settled with several customers regarding their investment in Activision bonds.

Drew Matthew Peacock has been registered with Ameriprise Financial Services before being discharged by the firm in 2024. He worked in Pensacola, Florida.

Israels & Neuman is a securities arbitration law firm and has represented over 1,000 investors in the past, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida. Our firm has sued many brokerage firms throughout the country, including Ameriprise Financial Services.

Drew Peacock’s BrokerCheck Report can be found HERE

If you lost money with Drew Peacock, Activision bonds, or Ameriprise Financial Services, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

The securities arbitration law firm of Israels & Neuman is currently investigating claims against financial advisor Trey Trapp from Tupelo, Mississippi. Wendell Holmes Trapp III, known as Trey Trapp, formerly associated with Edward Jones, has faced twelve customer complaints, all filed in 2024.

The complaints include allegations that Trapp made misrepresentations to clients that a mutual fund would maintain its principal value, which was inaccurate. Another client claimed that Trapp understated the risks associated with certain bonds. According to BrokerCheck, Edward Jones has settled several of these disputes and terminated Trapp in 2024.

Trey Trapp was affiliated with Edward Jones from 2017 until February 2024, operating in Tupelo and Belden, Mississippi.

Edward Jones and its advisors are obligated to provide suitable investment recommendations according to FINRA Rule 2111. The firm and its advisors also must conduct thorough due diligence on any investments they offer. Failure to meet these obligations can lead to financial accountability to clients for their losses.

You can find Trey Trapp’s BrokerCheck report HERE

If you lost money with Trey Trapp or Edward Jones, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Have you lost money with advisor Justin Pagel, formerly with Feltl & Company in Plymouth, Minnesota? Our investment fraud law firm is reviewing claims made by FINRA against this advisor, who was suspended from the securities industry for ten months.

FINRA alleged that Mr. Pagel recommended that four customers invest a significant portion of their assets in speculative, high-risk stocks. FINRA also alleged that he engaged in unsuitable short-term trading.

Justin William Pagel was a representative of Feltl & Company from August 2011 to May 2024. He worked in a Plymouth, Minnesota office. He has also been the subject of five customer complaints from 1998 to 2020.

Israels & Neuman is an investment fraud law firm with offices in Seattle, Phoenix, Grand Rapids, and Ann Arbor. We represent clients throughout the U.S., including investors in Minnesota.

To see the FINRA AWC against Justin Pagel, please click HERE.

You can find Justin Pagel’s BrokerCheck Report HERE.

If you lost money with Justin William Pagel or Feltl & Company, please Contact Us at 616-280-4303 or 206-795-5798 for a free evaluation of your case.

Did you invest with financial advisor Gwendolyn Hayes in Lake Oswego, Oregon? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of Edward Jones. In January 2025, Hayes was kicked out of the securities brokerage industry by FINRA when she failed to cooperate with a FINRA investigation.

She was terminated by Edward Jones in April 2024, which led to a FINRA investigation. FINRA was investigating Gwendolyn Hayes regarding allegations that she changed customers’ investment objectives without their authority, mismarked trades as being unsolicited, and accepted trading instructions from unauthorized individuals.

Ms. Hayes was registered with Edward Jones from 2010 to April 2024 and worked in Lake Oswego, Oregon. She also worked for Ameriprise from May 2024 to August 2024.

Israels & Neuman represents investors in all 50 states including throughout the Pacific Northwest. We have offices in Seattle; Vancouver, Washington; Grand Rapids; Ann Arbor and Phoenix. We have previously represented investors against Edward Jones as well.

FINRA’s AWC Regarding Gwendolyn Hayes can be found HERE

Hayes’s BrokerCheck Report can be found HERE

If you lost money with Gwendolyn Hayes, or Edward Jones, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Have you suffered financial losses with advisor Matthew Turner, formerly of Westpark Capital in Boca Raton, Florida? Our investment fraud law firm is currently examining claims filed by FINRA against this advisor. FINRA suspended him from the securities industry for five months and ordered him to pay $27,415 in restitution.

According to FINRA’s AWC, Turner is accused of excessively trading a client’s accounts from September 2018 to December 2020. This trading activity led to excessive commissions and resulted in $160,000 in losses across two customer accounts. One of these accounts had a cost-to-equity ratio exceeding 50%, indicating it would need a 50% profit just to cover the trading costs.

Matthew Ian Turner was affiliated with Westpark Capital from November 2012 until January 2025, operating out of their Boca Raton, Florida office. He has faced another customer complaint and filed for bankruptcy in 2015.

Israels & Neuman is an investment fraud law firm representing clients nationwide, including investors in Florida. We have previously assisted thousands of investors against various securities brokerage firms across the country.

To see the FINRA AWC against Matthew Turner, please click HERE.

You can find Matthew Turner’s BrokerCheck Report HERE.

If you lost money with Matthew Ian Turner or Westpark Capital, please Contact Us at (616) 280-4303 or (206) 795-5798 for a free evaluation of your case.

Did you invest with financial advisor Ceondre Colvin in Pittsburgh, Pennsylvania? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of NYLife (New York Life) Securities. In November 2024, he was barred from the securities brokerage industry by FINRA after he refused to cooperate with a FINRA investigation.

Colvin was under investigation after a customer complaint alleged that he made unauthorized withdrawals from two customers’ accounts to pay for personal expenses. New York Life already settled two cases involving this advisor, one for over $95,000 and another for over $8,000.

Ceondre Colvin was registered with NYLife Securities from September 2022 to June 2024. He worked in Pittsburgh, Pennsylvania.

Brokerage firms must reasonably monitor its advisors. If the firm fails to do so, they could be liable for investor losses.

FINRA’s AWC Regarding Ceondre Colvin can be found HERE

Ceondre Colvin’s BrokerCheck Report can be found HERE

If you lost money with Ceondre Colvin or NYLife Securities, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Did you invest with Daniel Deno, with LPL Financial? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against this advisor from Owensboro, Kentucky. Mr. Deno was recently arrested and charged with fraud and theft regarding a 73-year-old Tell City, Indiana client, according to 14news.com. He allegedly asked the client for cash payments and used them for his own personal benefit.

Daniel Ray Deno was a representative of LPL Financial from October 2022 to the present, as well as Fifth Third Securities from September 2020 to October 2022. He was also affiliated with German American Bank in Owensboro, Kentucky.

LPL Financial has a responsibility to adequately supervise its representatives. When firms fail to adequately monitor their advisory representatives, they may be liable for investment losses sustained by customers.

Daniel Deno’s BrokerCheck Report can be found HERE

If you lost money with Daniel Deno or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.