Articles Posted in financial advisor

WARNING! Advisor RITA MANSOUR Involved in CUSTOMER COMPLAINTS
Israels & Neuman, PLC

TOLEDO, OHIO Have you lost money with financial advisor Rita Mansour Of McDonald Partners in Toledo, Ohio? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Rita Mansour. The SEC alleged that Mansour sold investments in two pooled investment vehicles, the purpose of which was to then invest in a…

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Warning: RODNEY WASHINGTON of UBS Financial is BARRED – Ohio
Israels & Neuman, PLC

NEW ALBANY, OHIO Have you lost money with financial advisor Rodney Washington, formerly with UBS Financial Services, in New Albany, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rodney D. Washington. FINRA barred Washington from the securities industry after he failed to respond to a FINRA investigation. FINRA was…

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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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Investigation of JASON GAROFALO and Ameriprise Financial
Israels & Neuman, PLC

LAS VEGAS, NEVADA Have you lost money with financial advisor Jason Garofalo, with Ameriprise Financial Services, in Las Vegas, Nevada? We are looking into allegations made against Jason Garofalo. Garofalo has been the subject of a recent customer complaint. Garofalo was alleged to have sold unsuitable investments in non-traded REITs (real estate investment trusts) like…

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Warning! DOUGLAS ROSENBERG of Joseph Stone is SUSPENDED
Israels & Neuman, PLC

HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations,…

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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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WARNING: Investigation of MARIANNE SMITH of Cetera Advisors
Israels & Neuman, PLC

AVON, CONNECTICUT Have you lost money with financial advisor Marianne Smith, formerly of Cetera Advisors in Avon, Connecticut? We are looking into allegations made against Marianne Oshee Smith. FINRA began investigating Smith regarding allegations that she converted $43,900 from a customer. The funds were alleged to have been used to purchase mutual funds for Smith’s…

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HAYK PAPOYAN of MML Investors Under FINRA Investigation
Israels & Neuman, PLC

VAN NUYS, CALIFORNIA Have you lost money with financial advisor Hayk Papoyan, formerly of MML Investors Services in Van Nuys, California? We are looking into allegations made against Hayk Papoyan. FINRA began investigating Papoyan regarding an alleged undisclosed brokerage account. Papoyan was also terminated in July 2021 by MML Investors Services regarding an undisclosed outside…

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WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED
Israels & Neuman, PLC

MIAMISBURG, OHIO Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500. FINRA was investigating LeBoeuf for allegations that he…

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Efrain Trujillo of Western International Securities Terminated for Borrowing Money
Israels & Neuman, PLC

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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