LAKE OSWEGO, OREGON Did you invest with financial advisor Gwendolyn Hayes in Lake Oswego, Oregon? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of Edward Jones. In January 2025, Hayes was kicked out of the securities brokerage industry by FINRA when she failed to cooperate with…
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Howard Kavinsky, Formerly with B. Riley Wealth Management, Barred from Securities Industry CHICAGO, ILLIONOIS Did you invest with financial advisor Howard Kavinsky in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against Howard Kavinsky, who was a representative of B. Riley Wealth Management and National Securities Corp. Near the end of 2024,…
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Sherwin Sargeant, Formerly with Planmember Securities, Barred from Securities Industry ORLANDO, FLORIDA Did you invest in crypto with financial advisor Sherwin Sargeant in Orlando, Florida? Israels & Neuman is looking into claims made by FINRA against this advisor, who was an affiliate of Planmember Securities. He was barred from the securities brokerage industry by FINRA…
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Gustavo Dolfino Barred by SEC Regarding Student Global LLC NEW YORK, NY Did you lose money investing in Student Global LLC through Gustavo Dolfino, formerly with Silver Leaf Partners in New York, New York? He was recently barred from the securities industry by the Securities and Exchange Commission (SEC). According to an October 2024 Order…
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Kenneth Judd, Formerly with Valkyrie Equities, Barred from Securities Industry FARMERS BRANCH, TEXAS Did you invest with financial advisor Kenneth Judd in Farmers Branch, Texas? Our securities arbitration law firm is looking into claims made against this advisor, who previously worked for Valkyrie Equities. He was expelled from the securities brokerage industry by FINRA after…
Continue reading ›Kittiany Davis Barrios, Formerly with PNC Investments, Barred from Securities Industry CRANBURY, NEW JERSEY Are you a former client of financial advisor Kittiany Davis Barrios in Cranbury, New Jersey? Our securities arbitration law firm is looking into claims made against this advisor, who had been a representative of PNC Investments from March 2019 to January…
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Sanford Simmons Barred from Securities Industry CASTLE ROCK, COLORADO Did you invest with former financial advisor and stockbroker Sanford Simmons in Castle Rock, Colorado? Israels & Neuman is reviewing claims made against this advisor, who was licensed with a number of firms, including Provasi Capital Partners, Patrick Capital Markets, Wealthforge Securities, Colorado Financial Service Corp.,…
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Robert Daly, Formerly with Morgan Stanley, Barred from Securities Industry BEVERLY HILLS, CALIFORNIA Did you invest with financial advisor Robert Daly in Beverly Hills, California? Our securities arbitration law firm is looking into claims made against this advisor, who was previously registered with Morgan Stanley from February 2016 to March 2023. He was expelled from…
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Elan Sanker, Formerly with Merrill Lynch, Barred from Securities Industry PENNINGTON, NEW JERSEY Were you a customer of financial advisor Elan Sanker? Israels & Neuman is looking into allegations against this advisor, who previously worked in Pennington, New Jersey. Mr. Sanker was barred by FINRA after he refused to respond to an investigation. FINRA began…
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Brian Scott Graham Barred from Securities Industry PLAINFIELD, ILLINOIS Did you invest with former financial advisor and stockbroker Brian Scott Graham in Plainfield, Illinois? Israels & Neuman is reviewing claims made against this advisor, who was licensed with Cetera Advisor Networks from 2013 to April 2024. He was barred from the securities industry by FINRA…
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