Estevao Dias Semedo Formerly with PFS Investments Barred BROCKTON, MASSACHUSETTS Did you invest with advisor Estevao Dias Semedo in Brockton, Massachusetts? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Mr. Semedo, formerly with PFS Investments and Primerica. The FINRA Disciplinary Database shows that he was barred from…
Continue reading ›Former SagePoint Financial Advisor Thomas John Corsaro Sentenced Bloomfield, New York Are you a former client of Thomas Corsaro in Bloomfield, New York? Corsaro, who previously worked with SagePoint Financial and Bankers Life, was charged with wire fraud and recently pleaded guilty to the charges. He was charged by the U.S. Attorney’s Office for the…
Continue reading ›Spartan Capital Securities advisor Kostas Tsamos aka Gus Tsamos is Under FINRA Investigation GARDEN CITY, NEW YORK Are you a customer of stockbroker Kostas Tsamos, formerly with Spartan Capital Securities in Garden City, New York? Gus Tsamos, who was affiliated with Spartan Capital Securities between January 2016 and December 2022, is under investigation by the…
Continue reading ›Forrest Wester Barred from Securities Industry MIDLAND, TEXAS Did you invest with financial advisor Forrest Wester in Midland, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Forrest Wester, who previously worked with Wells Fargo. He was recently expelled from the securities industry by FINRA. FINRA was…
Continue reading ›Financial Advisor Robert Lee Golding Barred from Securities Industry ALPENA, MICHIGAN Are you a former client of financial advisor Robert Lee Golding in Alpena, Michigan? Our law firm is looking into claims made against Robert Lee Golding also known as Rob Golding, who previously worked with Pruco Securities and Prudential Insurance. According to FINRA’s Disciplinary…
Continue reading ›
Joao Pinto of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months.…
Continue reading ›Hector Hernandez Barred from Securities Industry SAN ANTONIO, TEXAS Are you a client of financial advisor Hector Hernandez in San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Hector J. Hernandez, who previously worked with Money Concepts Capital. FINRA’s Disciplinary Database discloses in November 2023,…
Continue reading ›Richard Michalski with Laidlaw & Company Suspended by SEC NEW YORK, NY Did you lose money with financial advisor Richard Michalski with Laidlaw & Company in New York City, New York? He was recently under investigation by the Securities and Exchange Commission (SEC). The SEC alleged that Richard Michalski engaged in excessive trading or churning.…
Continue reading ›
Cambridge Investment Research Advisor Ed Mercer Barred by FINRA CORAL SPRINGS, FLORIDA Are you a former client of Edward Steven Mercer in Coral Springs, Florida? Ed Mercer was barred by FINRA earlier this month. He previously worked with Cambridge Investment Research and LPL Financial and failed to respond to a FINRA investigation. This ultimately led…
Continue reading ›Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA TRAVERSE CITY, MICHIGAN As of November 2023, Royal Gregory Fisher has been suspended by FINRA. He previously worked with SagePoint Financial and now works with McNally Financial Services. He was suspended for two months and fined $5,000. FINRA alleged that Fisher circumvented compliance procedures with…
Continue reading ›
