Articles Posted in FINRA

PFS Investments Fires Sean Fields for Allegedly “Borrowing” Client Money CONCORD, CALIFORNIA Have you invested with financial advisor Sean Fields from Concord, California? In January 2024, he was fired by his brokerage firm, PFS Investments. Fields was under internal investigation by his brokerage firm, whereby he allegedly admitted that he borrowed from two customers. Generally,…

David Taddeo with LPL Financial Securities Subject of Complaints LA MESA, CALIFORNIA Are you a client of David Taddeo at LPL Financial in La Mesa, CA? He has been with LPL Financial Securities since 2000 and is the subject of six customer complaints, four of which have been made since 2020. The most recent complaint,…

Reuben Brown Formerly with Edward Jones Barred by FINRA SOUTHLAKE, TEXAS Did you invest with advisor Reuben Brown of Edward Jones in Southlake, Texas? After he failed to respond to a FINRA inquiry, he was barred from the securities industry pursuant to FINRA Rule 8210. This rule generally provides that financial advisors must respond to…

John Marcheso with Centaurus Financial Subject of Several Complaints COEUR D’ALENE, IDAHO Did you invest with financial advisor John Marcheso, currently affiliated with Centaurus Financial in Coeur D’Alene, Idaho? According to BrokerCheck, Marcheso has been the subject of four customer complaints filed within the last four years. The complaints make allegations regarding investments in oil…

TransAmerica Financial Advisors and Ching Tse Internal Investigation SAN CARLOS, CALIFORNIA Have you invested with Ching Tse from San Carlos, California? In December 2023, Ching Tse was “permitted to resign” by TransAmerica Financial Advisors. According to BrokerCheck, the advisor resigned from TransAmerica while under internal investigation after allegations of engaging in an unauthorized outside business…

Fifth Third Securities Fires Advisor Richard Critelli MARIETTA, GEORGIA Have you invested with financial advisor Richard Critelli from Marietta, Georgia? The securities arbitration law firm of Israels & Neuman is reviewing allegations made against Richard A. Critelli. In December 2023, he was fired by Fifth Third Securities. Critelli was alleged to have altered customer documentation.…

Spartan Capital Stockbroker Tory Duggins Suspended by FINRA NEW YORK, NY Did you lose money with financial advisor Tory Duggins, with Spartan Capital Securities in New York, New York? Our investment fraud law firm is reviewing claims made by FINRA against Tory Duggins. In January 2024, FINRA suspended him from the securities industry for 18…

Advisor Joe Gainer Barred by FINRA MARIANNA, FLORIDA Are you a former client of Joe David Gainer in Marianna, Florida? He previously worked with Wells Fargo and has failed to respond to a FINRA investigation. FINRA started looking into Gainer, who allegedly failed to disclose a position of trust in relation to receiving a $3…

James Monken with Morgan Stanley, Subject of Customer Complaints CLAYTON, MISSOURI Have you invested with stockbroker James Monken from Clayton, Missouri? We are looking into two complaints made by former customers who filed claims against Mr. Monken’s brokerage firm. Morgan Stanley has faced two customer complaints, filed in July and September 2023, alleging that Monken…

Joao Pinto of Spartan Capital, Suspended by FINRA NEW YORK, NY Have you invested money with financial advisor Joao Pinto, with Spartan Capital Securities in New York, New York? Our securities arbitration law firm is reviewing claims made by FINRA against Joao A. Pinto. FINRA has suspended Pinto from the securities industry for three months.…