Articles Posted in Arbitration

Douglas Nelson, Formerly with Kingswood Capital Partners, Subject of GWG Complaint PAHRUMP, NEVADA Did you invest in GWG L bonds through Douglas Nelson, formerly with Kingswood Capital Partners? The securities and investment fraud law firm of Israels & Neuman is looking into claims made against the advisor, who was licensed with Kingswood Capital Partners from…

PFS Investments Fires Sean Fields for Allegedly “Borrowing” Client Money CONCORD, CALIFORNIA Have you invested with financial advisor Sean Fields from Concord, California? In January 2024, he was fired by his brokerage firm, PFS Investments. Fields was under internal investigation by his brokerage firm, whereby he allegedly admitted that he borrowed from two customers. Generally,…

David Taddeo with LPL Financial Securities Subject of Complaints LA MESA, CALIFORNIA Are you a client of David Taddeo at LPL Financial in La Mesa, CA? He has been with LPL Financial Securities since 2000 and is the subject of six customer complaints, four of which have been made since 2020. The most recent complaint,…

John Marcheso with Centaurus Financial Subject of Several Complaints COEUR D’ALENE, IDAHO Did you invest with financial advisor John Marcheso, currently affiliated with Centaurus Financial in Coeur D’Alene, Idaho? According to BrokerCheck, Marcheso has been the subject of four customer complaints filed within the last four years. The complaints make allegations regarding investments in oil…

Spartan Capital Stockbroker Tory Duggins Suspended by FINRA NEW YORK, NY Did you lose money with financial advisor Tory Duggins, with Spartan Capital Securities in New York, New York? Our investment fraud law firm is reviewing claims made by FINRA against Tory Duggins. In January 2024, FINRA suspended him from the securities industry for 18…

Advisor Joe Gainer Barred by FINRA MARIANNA, FLORIDA Are you a former client of Joe David Gainer in Marianna, Florida? He previously worked with Wells Fargo and has failed to respond to a FINRA investigation. FINRA started looking into Gainer, who allegedly failed to disclose a position of trust in relation to receiving a $3…

James Monken with Morgan Stanley, Subject of Customer Complaints CLAYTON, MISSOURI Have you invested with stockbroker James Monken from Clayton, Missouri? We are looking into two complaints made by former customers who filed claims against Mr. Monken’s brokerage firm. Morgan Stanley has faced two customer complaints, filed in July and September 2023, alleging that Monken…

Joao Pinto of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months.…

James Williams with Newbridge Securities Subject of Six Complaints BOCA RATON, FLORIDA Did you invest with financial advisor James Williams from Boca Raton, Florida? Our investment fraud law firm is reviewing allegations made by his clients. He has been licensed with Newbridge Securities since 2010. James Earl Williams is the subject of 6 customer complaints,…

Next Financial Group Advisor Farid Farhoumand Subject of Recent Complaint FORT WAYNE, INDIANA Are you a current or former client of financial advisor Farid Farhoumand from Fort Wayne, Indiana? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by former customers of Farid Farhoumand, who has worked with Next…