Robert Koestler, Formerly with LPL Financial, Barred from Securities Industry BOSCOBEL, WISCONSIN Did you lose money with stockbroker Robert Koestler of LPL Financial in Boscobel, Wisconsin? The securities and investment fraud law firm of Israels & Neuman is looking into claims made against Robert Koestler, also known as Bob Koestler. FINRA’s Disciplinary Database reveals that…
Continue reading ›Cathie Joughin, Formerly with Ameriprise Financial Services, Barred by FINRA BAKERSFIELD, CALIFORNIA Have you lost money with financial advisor Cathie Joughin, formerly with Ameriprise Financial Services in Bakersfield, California? Our securities arbitration law firm is looking into a regulatory action filed by FINRA against Cathie Joughin. In November 2022, Cathie Joughin was barred from the…
Continue reading ›Jesus Bravo, Formerly with Joseph Stone Capital, Suspended PLAINVIEW, NEW YORK Did you lose money with financial advisor Jesus Bravo, who previously worked with Joseph Stone Capital in Plainview, New York? Our securities arbitration law firm is looking into allegations made against Jesus Bravo. According to FINRA’s Disciplinary Database, FINRA had investigated whether Bravo was…
Continue reading ›David Simmons, Formerly of Lincoln Financial Securities, Charged with Fraud JEFFERSON, NORTH CAROLINA Did you lose money with broker David Simmons, formerly of Lincoln Financial Securities in Jefferson, North Carolina? We are looking into allegations made against Simmons, who, along with Michael Kohn and Catherine Chollet, were charged with conspiring to defraud the United States…
Continue reading ›Edward Turley, Formerly with JP Morgan Securities, Barred by FINRA SAN FRANCISCO, CALIFORNIA Have you lost money in investments with financial advisor Edward Turley, formerly with JP Morgan Securities in San Francisco, California? Mr. Turley was recently barred by FINRA from the securities brokerage industry after he failed to respond to a FINRA investigation. The…
Continue reading ›Jimmy Driggers, Formerly with Morgan Stanley, Subject of Customer Complaints SARASOTA, FLORIDA Did you lose money with financial advisor Jimmy Driggers in Sarasota, Florida? Our securities arbitration law firm is looking into claims made against Jimmy Driggers. FINRA’s BrokerCheck reveals that Mr. Driggers has been the subject of four customer complaints, two of which have…
Continue reading ›Raymi Valdes, Formerly with PFS Investments, Barred from Securities Industry MIAMI, FLORIDA Are you a former client of financial advisor Raymi Valdes in Miami, Florida? Our firm is looking into claims made against Raymi N. Valdes. According to FINRA, Valdes was recently barred from the securities industry by FINRA after she failed to respond to…
Continue reading ›Allen Hershberg, Formerly with Morgan Stanley, Barred from Securities Industry BEVERLY HILLS, CALIFORNIA Are you a former client of financial advisor Allen Hershberg in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against Allen Israel Hershberg. According to FINRA, Mr. Hershberg was recently barred from the securities industry by FINRA…
Continue reading ›Attorney David Neuman Is Published in the Securities Arbitration Alert An article co-written by Israels & Neuman co-founder David Neuman was published on the Securities Arbitration Alert blog recently. The co-authors of the article were fellow PIABA members Courtney Werning, Jorge Riera, and Michael Edmiston. The article, which is entitled “Arbitration of Investor Claims in…
Continue reading ›David Snavely, Formerly of Cetera Advisors, Fined $15,000 by Washington DES MOINES, WASHINGTON Our law firm is looking into allegations made against David Snavely, formerly with Cetera Advisors in Des Moines, Washington, by the Washington Department of Financial Institutions. According to the Consent Order entered into by Washington and Snavely, he was alleged to have…
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