Yong Chang with Independent Financial Group Subject of Two Complaints SEATTLE, WASHINGTON Have you invested with Yong Chang from Seattle, Washington? Our securities arbitration law firm is reviewing claims made by clients of Yong Seok Chang, with Independent Financial Group. Chang has been a representative of Independent Financial Group since 2008 in Seattle, Washington, as…
Continue reading ›James Pelletiere, formerly with Pruco Securities, Barred by FINRA DOWNERS GROVE, ILLINOIS Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he…
Continue reading ›Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales NEW HAVEN, CT Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual.…
Continue reading ›John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint COLUMBIA, MARYLAND Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David…
Continue reading ›PTS Brokerage Advisor Ronald Smith Expelled MOORESTOWN, NEW JERSEY Are you a former client of financial advisor Ronald Smith, formerly with PTS Brokerage? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made regarding Ronald Burton Smith who worked in a Moorestown, New Jersey office. FINRA (the Financial Industry Regulatory…
Continue reading ›Christopher Cavallaro, Formerly with Lincoln Financial Advisors, Subject of Customer Complaints FALMOUTH, MASSACHUSETTS Have you invested with Christopher Cavallaro from Falmouth, Massachusetts? The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who have filed claims against Christopher Cavallaro’s former brokerage firm, Lincoln Financial Advisors.…
Continue reading ›Keliikai Castillo Fired by UnionBanc Investment Services SEATTLE, WASHINGTON Are you a former client of Keliikai Castillo with UnionBanc Investment Services in Seattle, Washington? He was fired by UnionBanc Investment Services in July 2023. According to BrokerCheck, Castillo engaged in unreported outside business activities and private securities transactions. In simple terms, this means that he…
Continue reading ›Equity Services Advisor Wesley Triani Expelled by FINRA HAUPPAUGE, NEW YORK Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here. Mr. Triani was the…
Continue reading ›Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…
Continue reading ›Moors and Cabot Advisor Damian Baird Suspended by FINRA WILLIAMSVILLE, NEW YORK Financial advisor Damian Baird has been indefinitely suspended by FINRA, as of June 2023. Damian Mark Baird, who previously worked with Moors & Cabot and Morgan Stanley in Williamsville, NY failed to respond to a FINRA investigation, which led to the suspension. An…
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