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10
Oct

JORGE HERNANDEZ of Gradient Securities is BARRED

Losses with Jorge Hernandez of Gradient Securities in Glendora, CA
Jorge Hernandez Barred from Securities Industry GLENDORA, CALIFORNIA Have you invested with stockbroker Jorge Hernandez in Glendora, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Jorge Hernandez, who previously worked with Gradient Securities.  FINRA’s Disciplinary Database discloses that he was barred from the securities industry by …
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9
Oct

YONG CHANG of Independent Financial Subject of COMPLAINTS

Losses with Ross Fabregas of LPL Financial in Albany, NY
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 …
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4
Oct

JUSTIN MAHER of Northwestern Mutual is SUSPENDED

Losses with Justin Maher of Northwestern Mutual in New Haven, CT
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. …
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4
Oct

COMPLAINTS Against JOHN SULLIVAN of Brokers International Financial

Losses with Jeffrey Furniss of Lincoln Financial in Annapolis, MD
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 …
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29
Sep

RONALD SMITH of PTS Brokerage is BARRED

Losses with Courtney Smith of Spire Securities in Bethesda, MD
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 …
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28
Sep

COMPLAINTS Against CHRISTOPHER CAVALLARO of Lincoln Financial

Losses with Steven W. Schmitt of Morgan Stanley in New York, NY
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.  …
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28
Sep

PATTY DAWSON at Stifel Nicolaus Losses in Bonds and Treasury Securities

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
Investment Losses in Mortgage Backed Securities Sold by Patty Dawson at Stifel Nicolaus ANN ARBOR, MICHIGAN Are you a former client of Patty Dawson, formerly with Stifel Nicolaus and Company in Ann Arbor, Michigan?  Patty Jane Dawson was a registered representative of Stifel Nicolaus from August 2005 to October 2023.  She is no longer licensed …
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22
Sep

PIERRE HILARIO of SW Financial is BARRED

Losses with Pierre Hilario of SW Financial in Melville, NY
Pierre Hilario, formerly with SW Financial, Barred by FINRA MELVILLE, NEW YORK Did you invest in private placements with financial advisor Pierre Hilario, formerly with SW Financial?  The securities and investment fraud law firm of Israels & Neuman is looking into allegations made regarding Pierre Hilario from Melville, New York.  FINRA (the Financial Industry Regulatory …
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