Christopher Carpenter, Formerly with LPL Financial, Barred by FINRA CHARLOTTE, NORTH CAROLINA Did you lose money with financial advisor Christopher Carpenter, formerly with LPL Financial in Charlotte, North Carolina? Christopher John Carpenter was barred by FINRA after he failed to cooperate with a FINRA investigation. In February 2023, LPL Financial filed a Form U5 with…
Continue reading ›Thomas Tedeschi, Formerly of Spartan Capital, Suspended by FINRA GARDEN CITY, NY Have you invested money with financial advisor Thomas Tedeschi, formerly with Spartan Capital Securities in Garden City, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Thomas J. Tedeschi. FINRA has suspended Tedeschi from the securities industry for…
Continue reading ›Rick Davidson, Formerly of National Securities Corp., Aegis Capital, and Morgan Stanley NEW YORK, NY The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Rick Davidson of New York City. Rick Davidson has been the subject of 12 customer complaints, including 6 complaints that have been filed…
Continue reading ›Michael Rosenmayer, with Oppenheimer & Co., Subject of Numerous Complaints LOS ANGELES, CALIFORNIA Have you invested with financial advisor Michael Rosenmayer of Los Angeles, California? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by current and former clients of Michael Rosenmayer. Rosenmayer has been a financial advisor and…
Continue reading ›Jason Pintus, Formerly with Monmouth Capital Management, Barred from Securities Industry POINT PLEASANT BEACH, NEW JERSEY The securities and investment fraud law firm of Israels & Neuman is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Jason Pintus, of Point Pleasant Beach, NJ, who previously worked with Monmouth Capital Management from…
Continue reading ›Customer Complaints Involving Aaron Graham in Salt Lake City SALT LAKE CITY, UTAH Have you lost money with Aaron Graham, a financial advisor with United Planners Financial Services in Salt Lake City, Utah? Graham was recently the subject of a customer complaint. The customer alleged that Graham violated his fiduciary duties in connection with the…
Continue reading ›Former Cetera Investment Services Advisor Rebecca King Wah Ng-Tsang Subject of Several Customer Complaints BELLEVUE, WASHINGTON Have you lost money investing with former Cetera Investment Services advisor Rebecca King Wah Ng-Tsang? Our Denver and Seattle-based law firm is looking into allegations made against The Cetera advisor, from Bellevue, Washington. According to FINRA’s BrokerCheck, she has…
Continue reading ›Stifel Nicolaus & Company Ordered to Pay $3.2 Million Regarding Joseph Crespi and Excessive Trading in Customer Accounts ST. LOUIS, MISSOURI Did you lose money investing with advisor Joseph Crespi, formerly with Stifel Nicolaus & Company? Recently, the Massachusetts Securities Division brough a claim against Stifel Nicolaus, which is a St. Louis, Missouri-based brokerage firm.…
Continue reading ›Joscelyn Cockburn Fired with FSC Securities Corp. RALEIGH, NORTH CAROLINA Are you a former client of financial advisor Joscelyn Cockburn, also known as Jamie Cockburn, formerly with FSC Securities Corp. in Raleigh, North Carolina? In March 2023, Cockburn was fired by FSC Securities Corp. FINRA’s BrokerCheck, a website which tracks licensed financial advisors in the…
Continue reading ›Douglas Schmitz, with Classic Asset Management, Subject of SEC Action FARGO, NORTH DAKOTA Have you lost money with financial advisor Douglas Schmitz of Fargo, North Dakota? Our law firm is looking into claims made by the Securities and Exchange Commission of Douglas Schmitz, who owns Classic Asset Management and Classic LLC. The SEC alleged that…
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