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22
Sep

JOHN DOUGHERTY of LPL Financial is FIRED

Losses with John Bussa of Lincoln Financial in Southfield, MI
LPL Financial Fires Advisor John Dougherty BLUE BELL, PENNSYLVANIA Have you invested with financial advisor John Dougherty from Blue Bell, Pennsylvania? Our law firm is looking into allegations made against John Dougherty.  John Dougherty was fired by LPL Financial in July 2023, according to his BrokerCheck Report (linked below). John A. Dougherty held his securities …
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22
Sep

Advisor NICHOLAS STOVALL Resigns After Investigation by Gradient

Losses with Nicholas Stovall of Gradient Securities in Arden Hills, MN
Nicholas Stovall Resigns from Gradient Securities ARDEN HILLS, MINNESOTA Have you invested with financial advisor Nicholas Stovall from St. Paul and Arden Hills, Minnesota? We are reviewing allegations made against Nicholas Stovall.  According to his BrokerCheck Report (see link below), Mr. Stovall was permitted to resign from Gradient Securities while under an internal investigation. BrokerCheck …
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21
Sep

LESLIE JACKSON of Momentum Independent is BARRED

Losses with Paul Trimber of Wells Fargo in Alexandria, VA
Leslie Jackson, Formerly with Momentum Independent Network, Barred from Securities Industry DALLAS, TEXAS Have you invested with stockbroker Leslie Jackson also known as Les Don Jackson in Dallas, Texas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Leslie Jackson, formerly with Momentum Independent Network.  FINRA’s Disciplinary …
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20
Sep

Advisor KELIIKAI CASTILLO of UnionBanc is FIRED

Losses with Michael Young of Classic Asset Management in Fargo, ND
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 …
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19
Sep

RON FILORAMO of Morgan Stanley is BARRED by FINRA

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
Ron Filoramo, formerly with Morgan Stanley, Barred by FINRA FORT LAUDERDALE, FLORIDA Are you a former client of financial advisor Ron Filoramo, formerly with Morgan Stanley?  FINRA (the Financial Industry Regulatory Authority) barred Filoramo from the securities industry when he did not respond to a FINRA investigation. According to FINRA’s BrokerCheck (attached below), Ron Filoramo …
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13
Sep

ROBERT STRANSKY of MWA Financial is EXPELLED by FINRA

Investment losses with Robert Stransky of MWA Financial in Littleton, CO
MWA Financial Services Advisor Robert Stransky Expelled by FINRA LITTLETON, COLORADO Are you a former client of stockbroker, Robert Stransky from Littleton Colorado? He has been barred from the securities industry by FINRA.  He previously worked with MWA Financial Services and failed to respond to FINRA’s investigation, which led to the expulsion.  See Stransky’s BrokerCheck …
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6
Sep

KEVIN CARROLL Fired by LPL Financial

Losses with Kevin Carroll of LPL Financial in Glastonbury, CT
Kevin Carroll Fired by LPL Financial GLASTONBURY, CONNECTICUT Are you a former client of Kevin Carroll, formerly with LPL Financial in Glastonbury, Connecticut?  According to FINRA’s BrokerCheck website,  Mr. Carroll was terminated by LPL Financial in July 2021, regarding allegations that he made transactions in a customers’ account without written authorization. FINRA has also brought …
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28
Aug

COMPLAINTS Against STEPHEN SPERLING of Wintrust Investments

Losses with Viqas Akhtar of B Riley Wealth Management in Miami, FL
Stephen Sperling, with Wintrust Investments, Subject of Several Complaints PALATINE, ILLINOIS Have you invested with Stephen Sperling from Palatine, Illinois?  Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments.  View his BrokerCheck Report HERE. Sperling has been a registered representative of …
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