Articles Posted in investment lawyer

Arlington Heights, Illinois If you’re a past or present client of financial advisor Richard Ceffalio from Arlington Heights, Illinois, our law firm is investigating allegations against him. In May 2024, Ceffalio was terminated by LPL Financial due to claims that he solicited a loan from a client. Typically, financial advisors are prohibited from borrowing from…

Bellevue, Washington Have you lost money with advisor Mark Stanley, formerly with Royal Alliance and now with Osaic Wealth in Bellevue, Washington? The investment fraud law firm of Israels & Neuman is reviewing claims made by former customers against Mark Stanley or Mark J. Stanley. FINRA’s BrokerCheck which is linked below, discloses that this advisor…

Carmel by the Sea, California Are you a former customer of financial advisor Bryce Hamilton from Carmel by the Sea, California? Our investment fraud law firm is looking into allegations made against this advisor. He was permitted by LPL Financial to resign in October 2024 regarding allegations that he failed to timely report a customer…

Spartan Capital Stockbroker Kieran Marc Loughran Suspended by FINRA NEW YORK, NY Have you lost money with advisor Kieran Loughran, formerly with Spartan Capital Securities in New York, New York? Our investment fraud law firm is reviewing claims made by FINRA against Kieran Loughran. FINRA suspended this advisor from the securities industry for three months,…

Pruco Securities Stockbroker Christopher Reynolds Barred by FINRA CANONSBURG, PENNSYLVANIA Did you lose money with financial advisor Christopher Reynolds, formerly with Pruco Securities in Canonsburg, Pennsylvania? The securities fraud law firm of Israels & Neuman is reviewing claims made by FINRA against this advisor. FINRA barred him from the securities industry in August 2024. FINRA…

Former KMS Financial Advisor Debra Mae Carter Sentenced to Prison WEATHERFORD, TEXAS Did you invest with Debra Mae Carter in Weatherford, Texas? She previously worked with KMS Financial, and was recently sentenced to life in prison for her role in William “Doc” Gallagher’s Ponzi scheme. Over $30 million was stolen from victims in Gallagher’s scheme.…

First Republic Securities Stockbroker Theresa Allen Subject of Several Complaints NEWPORT BEACH, CALIFORNIA Are you a client of financial advisor Theresa Allen, formerly with First Republic Securities, and now with RBC Capital in Newport Beach, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by customers of Theresa…

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.…

Julie Darrah Fired for Fraud by Wealth Enhancement Advisory Services ORCUTT, CALIFORNIA Have you invested with investment adviser Julie Darrah from Orcutt, California? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Julie Darrah, also known as Julie Banuelos. According to AdvisorInfo, a website maintained by the SEC,…