Articles Posted in customer

FINRA Seeks to Bar Goodyear Advisor Chip Wodrich GOODYEAR, AZ Did you invest with Charles Wodrich, formerly with Hornor Townsend & Kent in Goodyear, Arizona? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against this advisor. FINRA brought a complaint seeking to bar him from the securities…

David Burke Formerly with FBL Marketing Services Barred OMAHA, NE Are you a former customer of David Burke in Omaha, Nebraska? Our firm is reviewing claims made against this advisor, who was formerly a representative of FBL Marketing Services. FINRA began its investigation after he was “discharged” by FBL Marketing Services in September 2023 for…

David Wong, With Integrity Brokerage, Subject of FINRA Complaints SEATTLE, WASHINGTON Israels & Neuman is reviewing allegations made by FINRA against David Wong, who owns and operates Integrity Brokerage in Seattle, Washington. FINRA wants to punish this advisor according to a May 2024 complaint. FINRA has alleged that David Wong misappropriated about $9,500 from three…

Michael Gravelyn Formerly with Northwestern Mutual Barred GRAND RAPIDS, MICHIGAN Are you a former customer of Michael Gravelyn in Grand Rapids, Michigan? Our firm is reviewing claims made against this advisor. FINRA began its investigation after he was “permitted to resign” by Northwestern Mutual in April 2023. According to Northwestern Mutual, the resignation was made…

FINRA Seeks to Bar Criminally Charged Farmington Hills Advisor, Gary Harpe FARMINGTON HILLS, MICHIGAN Did you invest with Gary Harpe, formerly with PFS Investments (Primerica) in Farmington Hills, Michigan? Our securities arbitration law firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against advisor Gary Harpe. FINRA brought a complaint seeking…

Michael Grande, Formerly of Newbridge Securities, Subject of FINRA Complaint FORT LAUDERDALE, FLORIDA Are you a former customer of Michael Grande, formerly with Newbridge Securities in Fort Lauderdale, Florida? Our law firm is reviewing allegations made by FINRA against this advisor. FINRA seeks to bar him from the securities brokerage industry in an April 2024…

Kwame Adusei, Formerly with Morgan Stanley, Barred POUGHKEEPSIE, NEW YORK Did you invest with Kwame Adusei in Poughkeepsie, New York? Israels & Neuman is reviewing allegations with respect to Kwame Adusei, who previously was licensed with Morgan Stanley. He was expelled from the securities brokerage industry in March 2024 by FINRA after he failed to…

Morgan Stanley Fires Advisor Joel Freedman CONSHOHOCKEN, PENNSYLVANIA Are you a former customer of financial advisor Joel Freedman from West Conshohocken, Pennsylvania? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Joel Freedman, who was fired by his brokerage firm, Morgan Stanley in March 2024. The firm fired…

Former Ameriprise Financial Services Advisor Cynthia Beyerlein Suspended LANCASTER, PENNSYLVANIA Have you invested with financial advisor Cynthia Beyerlein from Lancaster, Pennsylvania? She was suspended for eight months by FINRA. FINRA began its investigation of Beyerlein after she was fired by her brokerage firm, Ameriprise Financial Services. She was under internal investigation by Ameriprise Financial Services,…

Jae Kim Formerly with E1 Asset Management Barred CORTLANDT MANOR, NEW YORK Have you lost money investing with financial advisor Jae Kim in Cortlandt Manor, New York? After Jae Kim failed to respond to FINRA’s inquiry, he was barred from the securities industry. FINRA Rule 8210 states that licensed advisors are required to respond to…