Articles Posted in investment losses

Jorge Hernandez Barred from Securities Industry GLENDORA, CALIFORNIA Have you invested with stockbroker Jorge Hernandez in Glendora, California? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Jorge Hernandez, who previously worked with Gradient Securities. FINRA’s Disciplinary Database discloses that he was barred from the securities industry by…

Lynn Bryant, Formerly with LPL Financial, Barred from Securities Industry HURST, TEXAS The investment fraud and securities arbitration law firm of Israels & Neuman is looking into claims made by FINRA against Lynn Bryant, formerly with LPL Financial. Bryant, who worked in Hurst, Texas, was recently barred by FINRA from the securities industry after she…

Rick Davidson, Formerly of National Securities Corp., Aegis Capital, and Morgan Stanley NEW YORK, NY The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Rick Davidson of New York City. Rick Davidson has been the subject of 12 customer complaints, including 6 complaints that have been filed…

Jason Pintus, Formerly with Monmouth Capital Management, Barred from Securities Industry POINT PLEASANT BEACH, NEW JERSEY The securities and investment fraud law firm of Israels & Neuman is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Jason Pintus, of Point Pleasant Beach, NJ, who previously worked with Monmouth Capital Management from…

Brian Wurdemann, Formerly with RBC Capital Markets, Barred by FINRA NEW YORK, NY Did you lose money with financial advisor Brian Wurdemann, formerly with RBC Capital Markets in New York, New York? Mr. Wurdemann was barred by FINRA after he failed to comply with an arbitration award, and was sued by his former brokerage firm,…

Israels & Neuman, PLC Investigates Jason Orsky, with Purshe Kaplan Sterling WESTLAKE, OHIO Are you a former or current client of financial advisor Jason Orsky, with Purshe Kaplan Sterling in Westlake, Ohio? Orsky, who also runs Jason M. Orsky Wealth Management, is the subject of a regulatory investigation by the Ohio Division of Securities, according…

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…

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…

CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida? We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021. PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities transactions.…

JUPITER, FLORIDA Have you lost money with financial advisor Robert Paterson, formerly with Truist Investment Services and BB&T Securities in Jupiter, Florida? We are looking into allegations made against Robert Paterson. Paterson was suspended from the securities industry by FINRA after he failed to respond to an investigation. FINRA is investigating allegations that an investor…