Articles Posted in FINRA investigation

STEVEN HILL of Wells Fargo Subject of COMPLAINTS
Israels & Neuman, PLC

July 31, 2023

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Losses in Structured CDs with Steven Hill of Wells Fargo ATWATER, CALIFORNIA Did you lose money with stockbroker Steven Hill in Atwater, California? Israels & Neuman is looking into claims made against Steven Hill, with Wells Fargo. FINRA’s BrokerCheck shows that Hill has been the subject of nine customer complaints, two of which have been…

Complaints Against LORRAINE GALLETTE of Coastal Equities
Israels & Neuman, PLC

April 18, 2023

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Former Coastal Equities Advisor Lorraine Gallette Subject of Several Complaints EL DORADO SPRINGS, MISSOURI Did you invest in alternative investments with financial advisor Lorraine Gallette in El Dorado Springs, Missouri? The securities and investment fraud law firm of Israels & Neuman is looking into Lorraine Gallette, an advisor formerly with Coastal Equities and Moloney Securities.…

STEVE MOISE of Joseph Stone Capital is SUSPENDED INDEFINITELY
Israels & Neuman, PLC

March 11, 2023

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Steve Moise with Joseph Stone Capital, Indefinitely Suspended MINEOLA, NEW YORK Are you a current or former client of financial advisor Steve Moise, who worked with Joseph Stone Capital in Mineola, New York? Steve Moise has been indefinitely suspended by FINRA starting in February 2023 because he failed to respond to FINRA requests for information.…

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

December 1, 2021

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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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