Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…
Continue reading ›Moors and Cabot Advisor Damian Baird Suspended by FINRA WILLIAMSVILLE, NEW YORK Financial advisor Damian Baird has been indefinitely suspended by FINRA, as of June 2023. Damian Mark Baird, who previously worked with Moors & Cabot and Morgan Stanley in Williamsville, NY failed to respond to a FINRA investigation, which led to the suspension. An…
Continue reading ›Christopher Harrington, Formerly with Laidlaw & Company, Suspended NEW YORK, NY Are you a former client of financial advisor Christopher Harrington, who had been a representative of Laidlaw & Company in New York, New York? Our investment fraud law firm is looking into allegations made against Christopher Harrington. FINRA’s BrokerCheck shows that Christopher Harrington was…
Continue reading ›Israels & Neuman, PLC Investigates Archibald McMichael aka Bill McMichael, Formerly with Lifemark Securities WAYNE, PENNSYLVANIA Have you lost money with financial advisor Archibald McMichael, also known as Bill McMichael, formerly with Lifemark Securities in Wayne, Pennsylvania? We are looking into allegations made against Bill McMichael. He has been the subject of a recent customer…
Continue reading ›Ron Itin, with E1 Asset Management, Subject of $4 Million Complaint JERSEY CITY, NEW JERSEY Did you lose money with financial advisor Ron Itin, with E1 Asset Management in Jersey City, New Jersey? Ron Itin is the subject of two pending customer complaints, one of which alleges losses of $4 million in options and stocks.…
Continue reading ›Customer Makes Complaint to Dalmore Group Over Lack of Cybersecurity WOODMERE, NEW YORK Are you a customer of the Dalmore Group, a brokerage firm based in Woodmere, New York? FINRA’s BrokerCheck reveals that a customer is making a complaint to Dalmore Group regarding issues with cybersecurity. In particular, the customer alleges that Dalmore Group failed…
Continue reading ›Losses in Structured CDs with Steven Hill of Wells Fargo ATWATER, CALIFORNIA Did you lose money with stockbroker Steven Hill in Atwater, California? Israels & Neuman is looking into claims made against Steven Hill, with Wells Fargo. FINRA’s BrokerCheck shows that Hill has been the subject of nine customer complaints, two of which have been…
Continue reading ›Clarice Saw, Formerly with Cetera Investment Services, Charged by SEC FLUSHING, NEW YORK Did you lose money with financial advisor Clarice Saw, formerly with Cetera Investment Services in Flushing, New York? Saw was recently charged with fraud by the Securities and Exchange Commission (SEC). According to the SEC press release, Clarice Saw had misappropriated $2.4…
Continue reading ›Nathan Paulson, Formerly with APW Capital, Subject of Customer Complaint WHEATON, ILLINOIS Did you lose money with advisor Nathan Paulson, formerly with APW Capital in Wheaton, Illinois? Nathan R. Paulson, who previously was licensed with APW Capital, was the subject of a customer complaint filed in June 2023. The customer filed the case in FINRA…
Continue reading ›Gianluca De Berardinis Allowed to Resign By Morgan Stanley NEW YORK, NY Are you a former client of financial advisor Gianluca De Berardinis in New York City? According to FINRA’s BrokerCheck website, he voluntarily “resigned” from his brokerage firm, Morgan Stanley in June. According to BrokerCheck, Gianluca De Berardinis was alleged to have been involved…
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