Jeffrey Higgins, Formerly with Western International Securities, Barred from Securities Industry BAKER CITY, OREGON Are you a former client of financial advisor Jeffrey Higgins? Our Pacific Northwest law firm is looking into allegations against Jeffrey Higgins, who previously worked with Western International Securities and Financial West Group. Higgins was expelled from the securities brokerage industry…
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Advisor Ronnie Dumag is Barred from the Securities Industry SACRAMENTO, CALIFORNIA Are you a former client of financial advisor Ronnie Dumag? The securities and investment fraud law firm of Israels & Neuman is looking into allegations against this advisor, who previously worked with PFS Investments (Primerica). Mr. Dumag was barred by FINRA after he refused…
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Gary Kieper, Formerly with Thrivent Investment Management, Barred from Securities Industry ANTIGO, WISCONSIN Are you a former client of Gary Kieper in Antigo, Wisconsin? Israels & Neuman is reviewing claims made against Mr. Kieper, who previously worked with Thrivent Investment Management. In May 2024, Mr. Kieper was barred by FINRA after he refused to respond…
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Andrew Egber, Formerly with Wells Fargo, Barred by FINRA from the Securities Industry BETHESDA, MARYLAND Are you a former client of Andrew Egber in Bethesda, Maryland? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations against Andrew Egber, who previously worked with Wells Fargo, Raymond James, and Steward…
Continue reading ›Kyle Baker, Formerly with First Trust Portfolios, Barred from Securities Industry WHEATON, ILLINOIS Are you a former client of Kyle Baker in Wheaton, Illinois? Israels & Neuman is looking into allegations against Baker, who previously worked with First Trust Portfolios. In April 2024, Baker was barred from the securities industry by FINRA, according to FINRA’s…
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LOS ANGELES, CALIFORNIA Have you lost money with financial advisor Efrain Trujillo, formerly with Western International Securities in Los Angeles, California? We are looking into allegations made against Efrain Trujillo. Trujillo was discharged from Western International Securities regarding allegations that he borrowed money from a customer. Generally, advisors cannot borrow money from customers, with limited…
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James Simpson, Formerly with Equitable (AXA) Advisors, Already Facing Federal Fraud Charges, Now Barred by FINRA TOLEDO, OHIO Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio? We are continuing to look into allegations made against James Earl Simpson. In November 2021, Simpson was barred…
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WEST PALM BEACH, FLORIDA Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to…
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FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges…
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TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that…
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