Richard Siminou, Formerly with Newbridge Securities Corp., Suspended by FINRA NEW YORK, NY Did you lose money with financial advisor Richard Siminou from New York, New York? The securities and investment fraud law firm of Israels & Neuman is looking into claims made by FINRA, against Richard Siminou, who was a representative of Newbridge Securities…
Continue reading ›Advisor John Jay Kersey Permitted to Resign By Northwestern Mutual CINCINNATI, OHIO Are you a former client of financial advisor John Jay Kersey in Cincinnati, Ohio? Mr. Kersey was “permitted to resign” by his former brokerage firm, Northwestern Mutual. According to his BrokerCheck report linked below, John Jay Kersey had been with Northwestern Mutual since…
Continue reading ›Roy Kevin Williams Fired by Stifel Nicolaus & Company INDIANAPOLIS, INDIANA Are you a former client of Roy Kevin Williams, formerly with Stifel Nicolaus & Company in Indianapolis, Indiana? Roy Kevin Williams was fired by Stifel Nicolaus & Company in May 2023. The brokerage firm alleged that Williams borrowed money from a customer between 2019…
Continue reading ›Ebony Parks, Formerly with LPL Financial, Suspended Indefinitely by FINRA DAVENPORT, IA Have you suffered investment losses because of recommendations made by advisor Ebony Parks? Our securities arbitration law firm is looking into allegations made against former LPL Financial and Wells Fargo financial advisor Ebony Parks, from Davenport, Iowa. She was indefinitely suspended by FINRA…
Continue reading ›Peter Maller, with Lincoln Financial Advisors, Subject of Two Pending Complaints HUNT VALLEY, MARYLAND Did you lose money with financial advisor Peter Maller, with Lincoln Financial Advisors in Hunt Valley, Maryland? Peter Maller is the subject of two pending customer complaints, all of which have been made since February 2023. The complaints were filed on…
Continue reading ›Joscelyn Cockburn Fired with FSC Securities Corp. RALEIGH, NORTH CAROLINA Are you a former client of financial advisor Joscelyn Cockburn, also known as Jamie Cockburn, formerly with FSC Securities Corp. in Raleigh, North Carolina? In March 2023, Cockburn was fired by FSC Securities Corp. FINRA’s BrokerCheck, a website which tracks licensed financial advisors in the…
Continue reading ›Douglas Schmitz, with Classic Asset Management, Subject of SEC Action FARGO, NORTH DAKOTA Have you lost money with financial advisor Douglas Schmitz of Fargo, North Dakota? Our law firm is looking into claims made by the Securities and Exchange Commission of Douglas Schmitz, who owns Classic Asset Management and Classic LLC. The SEC alleged that…
Continue reading ›Cullen Factor, Formerly with Western International Securities, Barred from Securities Industry WELLESLEY HILLS, MASSACHUSSETTS Have you invested with stockbroker Cullen David Factor in Wellesley Hills, Massachusetts? Our securities arbitration firm is reviewing allegations made by FINRA (the Financial Industry Regulatory Authority) against Cullen Factor, who previously was a representative of Western International Securities. Cullen David…
Continue reading ›John Gascoyne, Formerly of Morgan Stanley, Subject of Customer Complaint THE WOODLANDS, TEXAS Have you been a client of John Gascoyne, formerly with Morgan Stanley in The Woodlands, Texas? Our law firm is reviewing allegations of misrepresentations made by customers against the investment advisor. A customer complaint was filed with FINRA in March 2023 alleging…
Continue reading ›Raymond Kramer, with Purshe Kaplan Sterling, Subject of GWG Complaint CARMEL, INDIANA Have you invested in GWG L bonds through Purshe Kaplan Sterling? Our law firm is reviewing allegations made against Raymond Kramer of Carmel, Indiana who has been with Purshe Kaplan since October 2017. A customer complaint was made in March 2023 and disclosed…
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