Geneos Wealth Management Settles with FINRA for Over $400,000 Regarding Sales of LJM Preservation & Growth Fund and GPB Capital Did you lose money ith Geneos Wealth Capital, investing in the LJM Preservation & Growth Fund (ticker LJMIX, LJMCX, and LJMAX) or GPB Capital?? You may be able to recover money. The securities arbitration law…
Continue reading ›FINRA Bars Paul Koch, Formerly with RBC Capital Markets and UBS Financial Services, Regarding Wife’s Business WAYZATA, MINNESOTA Our securities arbitration law firm is reviewing allegations made against Paul Koch, who previously worked with RBC Capital Markets and UBS Financial Services in Wayzata, Minnesota. FINRA (the Financial Industry Regulatory Authority) brought an administrative action against…
Continue reading ›Donovan Kelly from Billings, Montana Suspended Seven Months From Securities Industry BILLINGS, MONTANA Have you lost money investing with Donavan Kelly of Independent Financial Group? The investment fraud law firm of Israels & Neuman is looking into allegations made against Kelly from Billings, Montana. He was under investigation by FINRA, which is responsible for regulating…
Continue reading ›Gregory Hanshew, Formerly with Infinity Financial Services, Subject of FINRA Complaint LITTLETON, COLORADO Have you lost money with financial advisor Gregory Hanshew from Littleton, Colorado? The investment fraud Law Firm of Israels & Neuman is reviewing allegations made about Gregory Hanshew. FINRA (the Financial Industry Regulatory Authority) seeks to bar Hanshew from the securities industry.…
Continue reading ›Former Wells Fargo and LPL Financial Advisor Mario Rivero Arrested for Fraud ELIZABETH, NEW JERSEY The securities and investment fraud law firm of Israels & Neuman is continuing to look into allegations made against Mario Rivero. Earlier this week, Mario Rivero from Elizabeth, New Jersey, was arrested at his home. He is alleged to have…
Continue reading ›FINRA Bars Dan Droeg, Formerly with H. Beck and SagePoint Financial, After He Converted Assets from a Trust MESA, ARIZONA Have you lost money with financial advisor Dan Droeg? The securities fraud law firm of Israels & Neuman is looking into allegations made against Dan Droeg, who previously worked with H. Beck, SagePoint Financial, and…
Continue reading ›Michael Mandel, Former LPL Financial and Royal Alliance Advisor, Suspended From Securities Industry for Selling Tequila Investments UPPER SADDLE RIVER, NEW JERSEY Have you lost money with Michael Mandel of LPL Financial and Royal Alliance? In 2021, the U.S. Attorney’s Office for the Southern District of New York brought a criminal complaint against Joseph Cimino.…
Continue reading ›Former Cetera Advisor Networks Advisor Donald Savaglia Subject of a Customer Complaint Involving Real Estate Investments OAK CREEK, WISCONSIN Have you lost money investing with former Cetera Advisor Networks advisor Donald Savaglia? Our law firm is looking into allegations made against Donald Savaglia, from Oak Creek, Wisconsin. According to FINRA BrokerCheck, a customer filed a…
Continue reading ›Kevin Houser, Formerly with LPL Financial, Subject of Customer Complaints Involving Franklin Square, Cole Credit Property and CIM Real Estate ALLENTOWN, PENNSYLVANIA Our law firm is looking into allegations made by former customers of Kevin Houser in Allentown, Pennsylvania. Kevin D. Houser, who previously worked with LPL Financial and is now with Ameriprise, has five…
Continue reading ›Walter Scott Hall of NYLife Securities and Coastal Equities, Terminated by Both Firms MEMPHIS, TENNESSEE The securities fraud law firm of Israels & Neuman is reviewing allegations made against Walter Scott Hall. Hall was a financial advisor with NYLife Securities and Coastal Equities. He was discharged by New York Life (NYLife) in 2020 “after the…
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