Thomas Baumann, Formerly with Spartan Capital Securities, Subject of FINRA Investigation NEW YORK, NY Are you a former client of Thomas Baumann, a financial advisor who previously worked with Spartan Capital Securities in New York? FINRA has been investigating Mr. Baumann, for excessively trading or churning customers’ accounts. FINRA alleged that this type of trading…
Continue reading ›Shawn Parker, formerly with Ameriprise Financial Services, Barred by FINRA SCHAUMBURG, ILLINOIS Have you invested with former Ameriprise financial advisor Shawn Parker of Schaumburg, Illinois? Our investment fraud law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Shawn Parker. In April 2022, FINRA barred Parker from the securities industry regarding…
Continue reading ›Customer Complaint Pending Against Sigma Financial Corp. Involving Matthew McDonald WALLED LAKE, MICHIGAN Were you a former investor of financial advisor Matthew McDonald? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against current Sigma Financial Corp. advisor Matthew McDonald, in Walled Lake, Michigan. According to FINRA,…
Continue reading ›Janie Garza-Clark, formerly with Hornor, Townsend & Kent, Barred by FINRA SCOTTSDALE, ARIZONA Have you lost money with financial advisor Janie Garza-Clark of Scottsdale, Arizona? The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Janie Garza-Clark. FINRA recently barred Garza-Clark from the securities…
Continue reading ›Financial Advisor Ann Werts, Formerly with Cabot Lodge Securities, and GWG Bonds DENVER, COLORADO The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Ann Werts, formerly named Ann Vanderslice, of Denver, Colorado. Werts has been the subject of a recent customer complaint regarding GWG Bond investments,…
Continue reading ›Philip Marchese, Formerly with Spartan Capital Securities, Suspended 12 Months from Securities Industry NEW YORK, NY The investment fraud and securities arbitration law firm of Israels & Neuman is looking into a regulatory complaint made by FINRA, the Financial Industry Regulatory Authority, against Philip Marchese. In 2022, FINRA brought a regulatory action against Marchese and…
Continue reading ›Doan Nguyen, formerly with Raymond James, Barred by FINRA VANCOUVER, BC Are you a current or former client of advisor Doan Nguyen of Vancouver, British Columbia? Our securities arbitration law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Doan Cong Nguyen. In April 2022, FINRA barred Nguyen from the securities…
Continue reading ›James Pecoraro, with Spartan Capital Securities, Subject of FINRA Investigation MELVILLE, NEW YORK Have you invested and lost money with James Pecoraro, a financial advisor who previously worked with SW Financial and is now with Spartan Capital Securities? According to FINRA, James Pecoraro is under investigation for excessively trading or churning customers’ accounts. He is…
Continue reading ›Israels & Neuman, PLC Investigates Mark Williams, Formerly with Centaurus Financial, Regarding GWG Bonds CARMEL, CALIFORNIA Are you a current or former client of financial advisor Mark Williams, formerly with Centaurus Financial in Carmel, California? We are looking into allegations made against Mark Williams, who has been the subject of two customer complaints, one of…
Continue reading ›Dimitry Tikhonov, with Madison Avenue Securities, Subject of Customer Complaint Involving GPB Automotive TORRANCE, CALIFORNIA Are you a former client of financial advisor Dimitry Tikhonov, with Madison Avenue Securities in Torrance, California? The securities and investment fraud firm of Israels & Neuman is reviewing allegations made by a former customer of Dimitry Tikhonov. The customer…
Continue reading ›
