<![CDATA[San Diego - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/san-diego/ Tue, 16 Jun 2026 18:05:28 GMT en-us <![CDATA[FINRA Seeks to Bar San Diego Advisor John Polemis From the Security Industry]]> https://www.israelsneuman.com/blog/finra-seeks-to-bar-san-diego-advisor-john-polemis-from-the-security-industry/ https://www.israelsneuman.com/blog/finra-seeks-to-bar-san-diego-advisor-john-polemis-from-the-security-industry/ Tue, 16 Jun 2026 18:02:06 GMT 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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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 that John Polemis had not adequately responded to FINRA’s investigation.  It is a violation of FINRA Rule 8210 to fail to respond to FINRA investigations and can result in being barred from the securities industry. Contact the securities and investment fraud law firm of Israels & Neuman for money recovery options.  

Background on Advisor John Polemis

From April 2022 to March 2024, John Polemis was a registered representative of Park Avenue Securities.  He was later registered with Stirlingshire Investments and Sphinx Investments and worked at an office in San Diego, California. He has also been the subject of two prior customer complaints and had three financial compromises in 2018. 

Is Park Avenue Securities Liable for Customer Losses?

Park Avenue Securities, as a FINRA member, has obligations to supervise the conduct of its financial advisors like John Polemis.  If the firm fails to adequately do so, it could be responsible for any investor losses.

Israels & Neuman Helps Investors in San Diego, California

Our securities arbitration law firm represents investors throughout the country in arbitration matters.  If you were a client of John Polemis and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We can help you recover the money you deserve.

]]> <![CDATA[Complaints Against LANNY HOWARTER of Crown Capital]]> https://www.israelsneuman.com/blog/complaints-against-lanny-howarter-crown-capital/ https://www.israelsneuman.com/blog/complaints-against-lanny-howarter-crown-capital/ Tue, 05 Oct 2021 18:51:54 GMT SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…

]]> SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts), BDCs (business development companies), and private placements.

Lanny Howarter has been with Crown Capital Securities from March 2009 to the present. He has worked at branch offices in San Diego, California.

Brokerage firms like Crown Capital Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Crown Capital Securities.

Click here to view Howarter BrokerCheck Report

If you lost money with Lanny Howarter or Crown Capital Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[Allegations Against MIKE SAVARESE for Selling REITs and BDCs]]> https://www.israelsneuman.com/blog/mike-savarese-investment-fraud/ https://www.israelsneuman.com/blog/mike-savarese-investment-fraud/ Tue, 15 Jun 2021 11:00:06 GMT Israels & Neuman, PLC Investigates Michele Savarese, Formerly of Presidential Brokerage and Kestra Investment Services SAN DIEGO, CALIFORNIA – Have you lost money with financial advisor Michele Savarese aka Mike Savarese, formerly of Presidential Brokerage and Kestra Investment Services in San Diego, California? We are looking into allegations made against Michele Savarese, who has been…

]]> Israels & Neuman, PLC Investigates Michele Savarese, Formerly of Presidential Brokerage and Kestra Investment Services SAN DIEGO, CALIFORNIA – Have you lost money with financial advisor Michele Savarese aka Mike Savarese, formerly of Presidential Brokerage and Kestra Investment Services in San Diego, California? We are looking into allegations made against Michele Savarese, who has been the subject of twelve (12) customer complaints, one of which was made in 2020. Savarese has been alleged to have sold alternative investments like non-traded REITs (real estate investment trusts) and BDCs (business development companies). Some of these REITs and BDCs include Sierra Income Corp., CION Investment, Northstar REITs, and Carter Validus Mission Critical REIT II.

Mike Savarese aka Michele Savarese was a registered representative of Presidential Brokerage from 1996 to November 2016. Savarese was also with Kestra Investment Services from October 2016 to August 2018. He has worked at branch offices in San Diego, California.

Brokerage firms like Presidential Brokerage and Kestra Investment Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Presidential Brokerage and Kestra Investment Services.

Click to view BrokerCheck: Savarese, M. BrokerCheck 5.14.21

If you lost money with Michele Savarese, Kestra Investment Services, or Presidential Brokerage, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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