Articles Posted in Kentucky

UBS Financial Advisor David W. Demarest Faces $15 Million FINRA Arbitration Over Treasury and Options Overlay Strategy
Israels & Neuman, PLC

Investors who worked with UBS Financial Services financial advisor David Walter Demarest (CRD# 4843128) in Lexington, Kentucky, should be aware of a newly disclosed customer dispute now pending against him. According to his FINRA BrokerCheck report, a customer has filed a FINRA arbitration claim alleging that Demarest and UBS recommended an unsuitable, high-risk investment strategy…

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Daniel Deno of LPL Financial is Arrested
Israels & Neuman, PLC

LPL Financial Advisor Daniel Deno Arrested 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…

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ROBERT GLEASON Jr. of Cantella and Co. SUSPENDED for Churning
Israels & Neuman, PLC

Former Cantella & Co. advisor Robert Gleason Suspended OWENSBORO, KENTUCKY Are you a former customer of stockbroker Robert Gleason Jr., formerly with Cantella & Co. in Owensboro, Kentucky? Gleason, who was affiliated with Cantella & Co. from November 2016 to December 201, was under investigation by the Financial Industry Regulatory Authority (FINRA) for potentially violating…

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