BELLVILLE, TEXAS Our securities arbitration law firm is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Howell Ferguson. Howell Gregg Ferguson worked at First National of Bellville and also had his securities license through LPL Financial. He was alleged to have forged two documents by signing an LPL customer’s name without…
Continue reading ›CROWN POINT, INDIANA Randall Minas has been an advisor with Stifel Nicolaus from February 2017 to the present and has worked in an office in Crown Point, Indiana. According to the BrokerCheck database maintained by FINRA, Minas has been the subject of a customer complaint that was filed in Denver County District Court in Denver,…
Continue reading ›RICHMOND, VIRGINIA Have you invested with financial advisor Warren Rowe of Richmond, Virginia? Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Warren E. Rowe, Jr. FINRA barred Rowe from the securities industry after he failed to respond to an investigation. Rowe was alleged to have borrowed money from…
Continue reading ›CLEARWATER, FLORIDA Have you lost money with financial advisor Tarek Mohamed of Clearwater, Florida? Our law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Tarek Mohamed. FINRA filed a complaint against Mohamed, alleging that he failed to respond to an investigation. The complaint against Mohamed alleges that clients funds were…
Continue reading ›TAMPA, FLORIDA Have you lost money with financial advisor Michael Nixon, formerly with Paulson Investment Company in Tampa, Florida? We are looking into allegations made against Michael P. Nixon. Nixon has been the subject of an investigation by FINRA. FINRA investigated Nixon regarding allegations that he sold unsuitable investments in Steepener Notes. FINRA alleged that…
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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…
Continue reading ›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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DALLAS, TEXAS We are investigating allegations made by FINRA, the FINRA, the Financial Industry Regulatory Authority, against Eric Carl Willer. FINRA suspended Willer from the securities industry for nine months. It was alleged that Willer recommended to 13 potential investors to purchase bonds in two private placements without having a reasonable basis to believe that…
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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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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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