Edward Short, Formerly with Laidlaw & Company, Suspended MELVILLE, NEW YORK Are you a former client of financial advisor Edward Short, who previously worked with Laidlaw & Company in Melville, New York? Our investment fraud law firm is looking into allegations made against Edward Short. According to FINRA’s Disciplinary Database, FINRA was investigating whether Short…
Continue reading ›Sean Boswick, Formerly with Brock Securities, Barred from Securities Industry NEW YORK, NY Are you a former client of financial advisor Sean Boswick in New York, New York? The investment fraud and securities arbitration firm of Israels & Neuman is looking into allegations made against Sean Morgan Storm Boswick. According to FINRA’s Disciplinary Database, he…
Continue reading ›Nathaniel Clay, formerly with Laidlaw & Company, Agrees to Pay Over $300,000 New York, NY Have you lost money with financial advisor Nathaniel Clay of New York City? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Nathaniel Clay. The SEC alleged that Clay and Terrance Reagan, who were both previously…
Continue reading ›Matthew Barks, Formerly with Park Avenue Securities, Barred from Securities Industry PADUCAH, KENTUCKY Are you a former client of stockbroker Matthew Barks in Paducah, Kentucky? Israels & Neuman is reviewing allegations made against Matthew Barks, who previously worked for Park Avenue Securities. FINRA’s Disciplinary Database reveals that he failed to respond to an investigation and…
Continue reading ›FINRA Fines Paulson Investment Company Over Variable Interest Rate Structured Products LAKE OSWEGO, OREGON Have you invested in variable interest rate structured products (VRSPs) through Paulson Investment Company? Our Pacific Northwest law firm is reviewing claims by FINRA against this brokerage firm. According to a recent Letter of Acceptance, Waiver and Consent, FINRA alleged that…
Continue reading ›CFP Board Bars Travis Hansberger From Using CFP Designation ST. LOUIS PARK, MINNESOTA Our securities arbitration law firm is reviewing allegations made against Travis Hansberger of St. Louis Park, MN. The Certified Financial Planner (CFP) Board announced that it permanently barred him from using the CFP designation. The CFP Board alleged that Hansberger recommended unsuitable…
Continue reading ›Nicholas Huniak Fired By Country Capital Management Company GRANITE CITY, ILLINOIS Have you invested with financial advisor Nicholas Huniak from Granite City, Illinois? We are reviewing allegations made against Nicholas Huniak. According to FINRA’s BrokerCheck, Nick Huniak was fired by Country Capital Management Company in November 2022. BrokerCheck further reveals that Huniak was terminated after…
Continue reading ›Clinton Byrd, Formerly with Cantella & Co., Suspended Nine Months TALLAHASSEE, FLORIDA Are you a former client of Clinton Byrd from Tallahassee, Florida? Our investment fraud law firm is reviewing claims made by FINRA, against Clinton Byrd. Byrd was suspended by nine months by FINRA after he allegedly engaged in a private securities transaction. FINRA…
Continue reading ›Pedro Escobar, Formelry with Suntrust, Subject of Complaint Involving GIC MIAMI, FLORIDA Are you a current or former customer of advisor Pedro Escobar, who previously worked with Suntrust Investment Services in Miami, Florida? We are reviewing claims made by a customer against Pedro Jose Escobar. Suntrust Investment Services and Pedro Escobar are the subject of…
Continue reading ›John Terzis, Formerly with LPL Financial, Barred by FINRA SKOKIE, ILLINOIS Have you lent money to financial advisor John Terzis from Skokie, Illinois? Our law firm is reviewing allegations made by FINRA, against John N. Terzis. FINRA barred Terzis from the securities industry after he “borrowed” money from a customer, in violation of FINRA Rules…
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