Articles Posted in excessive trading

Matthew Turner of Westpark Capital is Suspended
Israels & Neuman, PLC

BOCA RATON, FLORIDA Have you suffered financial losses with advisor Matthew Turner, formerly of Westpark Capital in Boca Raton, Florida? Our investment fraud law firm is currently examining claims filed by FINRA against this advisor. FINRA suspended him from the securities industry for five months and ordered him to pay $27,415 in restitution. According to…

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KIERAN MARC LOUGHRAN of Spartan Capital is SUSPENDED
Israels & Neuman, PLC

Spartan Capital Stockbroker Kieran Marc Loughran Suspended by FINRA NEW YORK, NY Have you lost money with advisor Kieran Loughran, formerly with Spartan Capital Securities in New York, New York? Our investment fraud law firm is reviewing claims made by FINRA against Kieran Loughran. FINRA suspended this advisor from the securities industry for three months,…

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Warning! JOSEPH TODARO Terminated by SW Financial
Israels & Neuman, PLC

MELVILLE, NEW YORK Have you lost money with financial advisor Joseph Todaro, formerly with SW Financial in Melville, New York? Todaro was recently discharged from SW Financial regarding allegations that he used non-approved methods of communication after written reprimands from the firm. Todaro has also been the subject of five customer complaints, some of which…

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DANIEL JAMES O’NEILL of Aegis is SUSPENDED for Excessive Trading
Israels & Neuman, PLC

MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.…

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ROBERT GUIDICIPIETRO of Arive Capital Accused of CHURNING
Israels & Neuman, PLC

BAY RIDGE, NEW YORK Have you lost money with financial advisor Robert Guidicipietro, formerly with Arive Capital Markets in Bay Ridge, New York? We are looking into allegations made against Robert Guidicipietro. Guidicipietro was suspended from the securities industry for four months, fined $5,000, and ordered to pay $35,219 in restitution by FINRA. FINRA was…

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MATTHEW SILIATO Involved in Churning Accounts and Unauthorized Trading
Israels & Neuman, PLC

NEW YORK, NY Have you lost money with financial advisor Matthew Siliato, formerly with Wynston Hill Capital in New York, New York? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority. Earlier in 2021, FINRA barred Matthew Siliato after he failed to respond to an investigation. FINRA was investigating…

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ROBERT WOLFE of Cetera Accused of Unsuitable REIT Investments
Israels & Neuman, PLC

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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JEFFREY DAMPF of PFS Investments Accused of Stealing Money
Israels & Neuman, PLC

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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Investigation of JOSHUA HELMLE of Integrity Brokerage
Israels & Neuman, PLC

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…

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Complaints Against ALBERTO VALDES of Raymond James
Israels & Neuman, PLC

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…

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