Investment Fraud Law Firm Investigates Daniel Raupp of Concorde Investment Services SETAUKET, NEW YORK Have you lost money with financial advisor Daniel Raupp, formerly of Concorde Investment Services in Setauket, New York? We are looking into allegations made against Daniel Raupp, who has been the subject of 11 customer complaints, 10 of which have been…
Continue reading ›James Viktora Fired from Merrill Lynch ORLAND PARK, ILLINOIS Are you a former client of financial advisor James Viktora, formerly with Merrill Lynch in Orland Park, Illinois? Mr. Viktora was fired by Merrill Lynch in February 2023. According to FINRA’s BrokerCheck, Jim Viktora was fired for “conduct involving entering into a financial arrangement with a…
Continue reading ›David Morris, Formerly with Stifel Nicolaus & Company, Suspended by FINRA CHICAGO, ILLINOIS Are you a former client of David Morris, formerly with Stifel Nicolaus & Company in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against David Jeffrey Morris. David Morris was indefinitely suspended by FINRA in February 2023 because Morris…
Continue reading ›Surage Perera, formerly with the Aegis Capital Corp., Indicted MELVILLE, NEW YORK Have you lost money with financial advisor Surage Roshan Perera of Queens, New York? Surage Perera was previously affiliated with a brokerage firm called Aegis Capital Corp., from April 2018 to September 2022. He worked in a Melville, New York office but lived…
Continue reading ›Former SII Investments Advisor Pamela Espinosa Subject of Recent Complaint ALBUQUERQUE, NEW MEXICO Are you a current or former client of financial advisor Pamela Espinosa from Albuquerque, New Mexico? Our law firm is reviewing claims made against by former customers of Pamela Espinosa, who was worked with SII Investments from April 2011 to November 2017…
Continue reading ›Shimshon Plotkin, with Independent Financial Group, Subject of Ten Complaints CHEVY CHASE, MARYLAND Did you have investments with financial advisor Shimshon Plotkin, who has been an advisor with Independent Financial Group in Chevy Chase, Maryland? Israels & Neuman is examining allegations made by customers of Shimshon Plotkin. Shimshon “Shim” Plotkin had been a representative of…
Continue reading ›Miche Jean Formerly of Morgan Stanley, Subject of FINRA Complaint for Unauthorized Trading ROCKVILLE, MARYLAND Are you a former customer of Miche Jean, of Morgan Stanley in Rockville, Maryland? The securities fraud and arbitration law firm of Israels & Neuman is reviewing allegations made by FINRA against Miche Patrick Jean. FINRA seeks to bar him…
Continue reading ›Jose Candelario Padilla, with Nationwide Planning Associates, Suspended GUAYAMA, PUERTO RICO Have you invested with Jose Candelario Padilla from Guayama, Puerto Rico? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing claims made by FINRA, against Jose Candelario Padilla. He has been affiliated Nationwide Planning Associates since September 2016. FINRA’s…
Continue reading ›Tammie Farrell, with Capital Investment Group, Subject of Complaints FRANKLIN, NORTH CAROLINA Did you invest in GWG L bonds with Capital Investment Group? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Tammie Farrell of Franklin, North Carolina, who has been with Capital Investment Group since…
Continue reading ›Steve Moise with Joseph Stone Capital, Indefinitely Suspended MINEOLA, NEW YORK Are you a current or former client of financial advisor Steve Moise, who worked with Joseph Stone Capital in Mineola, New York? Steve Moise has been indefinitely suspended by FINRA starting in February 2023 because he failed to respond to FINRA requests for information.…
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