Articles Posted in borrow

Keliikai Castillo Fired by UnionBanc Investment Services SEATTLE, WASHINGTON Are you a former client of Keliikai Castillo with UnionBanc Investment Services in Seattle, Washington? He was fired by UnionBanc Investment Services in July 2023. According to BrokerCheck, Castillo engaged in unreported outside business activities and private securities transactions. In simple terms, this means that he…

Lickhai Quach, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry ROCKVILLE, MARYLAND Have you invested with stockbroker Lickhai Khai Quach in Rockville, Maryland? Israels & Neuman is reviewing claims made against Lickhai Khai Quach. As of August 2023, FINRA’s Disciplinary Database shows that Quach was barred from the securities industry by FINRA. Khai Quach…

Roy Kevin Williams Fired by Stifel Nicolaus & Company INDIANAPOLIS, INDIANA Are you a former client of Roy Kevin Williams, formerly with Stifel Nicolaus & Company in Indianapolis, Indiana? Roy Kevin Williams was fired by Stifel Nicolaus & Company in May 2023. The brokerage firm alleged that Williams borrowed money from a customer between 2019…

Ronald Sagasser, Formerly with Western and Southern Life Insurance, Barred from Securities Industry MIAMISBURG, OHIO Have you invested with advisor Ronald Sagasser in Miamisburg, Ohio? Our investment fraud law firm is looking into claims made against Ronald Sagasser. He was recently barred by FINRA from the securities industry because he failed to respond to a…

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…

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…

MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements…

MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges…

WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…

SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…