Did you invest with Rudy Anguiano, formerly at LPL Financial? Our securities arbitration law firm is looking into allegations involving Rudy Anguiano, who worked in a Brea, California office. Allegations Regarding Rudy Anguiano’s Suspension FINRA investigated Anguiano regarding allegations that he received $1.7 million from LPL customer accounts between 2023 and 2025. Anguiano was alleged…
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Did you lose money investing with financial advisor Lanting Wei at Cetera Investment Services? Our securities arbitration law firm is reviewing allegations involving Lanting or “Katie” Wei, who worked in an Arcadia, California office. Allegations Regarding Katie Wei’s BrokerCheck Report BrokerCheck discloses that Lanting Wei has been the subject of three customer complaints since 2024. …
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Israels & Neuman securities arbitration law firm is looking into allegations involving Lori Kenyon Farley, who worked at Sanford C. Bernstein & Co. in Century City, California. Allegations Regarding Lori Kenyon Farley According to BrokerCheck, a website maintained by FINRA, Lori Kenyon Farley has been the subject of two customer complaints. The first complaint was…
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Are you a former or current client of Josiah Jennings, formerly at Columbia Capital Securities? Our securities arbitration law firm is reviewing allegations made against Josiah D. Jennings, who worked in a Los Angeles office. Allegations Regarding Josiah Jennings’s Suspension FINRA investigated Jennings regarding allegations that he sold investments without providing prior notice to his…
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Allegations Regarding John Polemis FINRA initiated its investigation into John Polemis for allegations that he borrowed $28,000 from a terminally ill customer, without intending to pay it back. He also placed trades in the customer’s account after the customer died, without prior written authorization, and generated over $3,000 in commissions for himself. FINRA further alleged…
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Have you invested with Anthony Cheng from San Jose, California? The securities arbitration law firm of Israels & Neuman is looking into a regulatory complaint made by FINRA against Anthony Cheng aka Tony Cheng, who previously worked for Ameritas Investment Company. Allegations Against Tony Cheng FINRA alleged that it initiated an investigation into Anthony Cheng…
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Did you loan money to, or invest with Jacob Harper of D.A. Davidson? Israels & Neuman is looking into allegations involving Jacob Lee Harper, who was a representative with D.A. Davidson and worked in a Newport Beach, California office. Allegations Against Jacob Harper According to a FINRA regulatory action, Jacob Harper borrowed $50,000 from two…
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FINRA’s Allegations FINRA alleged that it has started an investigation into Glenn Ngo, who was formerly with Park Avenue Securities in San Diego, California. They are investigating whether he participated in selling investments away from his firm. Investors may be able to recover losses by filing a claim through the securities law firm of Israels…
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Were you a client of Leroy Born, formerly at Wells Fargo? We are looking into claims involving Leroy Born, who formerly was a representative with Wells Fargo and worked in a Tustin, California office. Born was discharged by Wells Fargo in June 2025. Wells Fargo’s Allegations Regarding Firing Leroy Born FINRA’s BrokerCheck discloses the reasons…
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You may be able to file a claim if you lost money in Bed Bath and Beyond investments with Morgan Stanley financial advisor, Derek Michael Johnson in Brea, California. The securities fraud law firm of Israels & Neuman is reviewing allegations made against Johnson, who has been a representative with Morgan Stanley since June 2020. …
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