Articles Posted in lawyer

Former Morgan Stanley Advisor Ronald Diaz Pleads Guilty to Wire Fraud, Sentencing set for September 2024 TUCSON, ARIZONA Are you a former client of Ronald Diaz of Morgan Stanley in Tucson, Arizona? He was charged with wire fraud by the U.S. Attorney’s Office for the District of Arizona and recently pleaded guilty to the charges.…

Garrett Moretz with Lifemark Securities Charged by SEC MOORESVILLE, NORTH CAROLINA Did you lose money with financial advisor Garrett Moretz with Lifemark Securities in Mooresville, North Carolina? He was recently charged with fraud by the Securities and Exchange Commission (SEC). The SEC filed a complaint against this advisor, alleging that he repeatedly misrepresented the risks…

Former Ameriprise Financial Services Advisor Scott Taubman Suspended PEORIA, ARIZONA Did you lose money with financial advisor Scott Taubman from Peoria, Arizona? He was suspended for four months by FINRA. FINRA began its investigation after he was “permitted to resign” by his former brokerage firm, Ameriprise Financial Services. Mr. Taubman was under internal investigation by…

Former LPL Financial Advisor Sharif Azmi Sharif Suspended ELMHURST, ILLINOIS Have you invested with financial advisor Sharif Azmi Sharif from Elmhurst, Illinois? This advisor has been suspended for nine months and fined $5,000 by FINRA. According to FINRA’s AWC, Sharif was a founding member of a crypto mining company. He and a business partner solicited…

Ameriprise Financial Fires Advisor Eric Anthony Dupre SAN ANTONIO, TEXAS Are you a former customer of financial advisor Eric Anthony Dupre from San Antonio, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against this advisor. He was fired by Ameriprise Financial Services in March 2024. Ameriprise terminated…

FINRA Seeks to Bar Goodyear Advisor Chip Wodrich GOODYEAR, AZ Did you invest with Charles Wodrich, formerly with Hornor Townsend & Kent in Goodyear, Arizona? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against this advisor. FINRA brought a complaint seeking to bar him from the securities…

Jeffrey Furniss, with Lincoln Financial Advisors, Subject of Several Complaints ANNAPOLIS, MARYLAND Did you invest in oil and gas with Jeffrey Furniss from Annapolis, Maryland? Our firm is reviewing allegations made by several customers who filed claims against his brokerage firm, Lincoln Financial Advisors. According to FINRA’s BrokerCheck, Mr. Furniss has been the subject of…

Advisor Randy Birkinbine, with Ausdal Financial Partners, Subject of Customer Complaints NORTH OAKS, MINNESOTA Have you lost money investing with Randy Birkinbine of Ausdal Financial Partners in North Oaks, Minnesota? According to Brokercheck, Ausdal Financial Partners has been named as a party in three cases filed in 2024, and Mr. Birkinbine was the subject of…

Customers of Paul Meaney Complain About Oil and Gas Investments WALTHAM, MASSACHUSETTS The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who filed claims against Paul Meaney, while at Lincoln Financial Advisors. Lincoln Financial has faced five customer complaints regarding recommendations made by Mr.…

John Bussa, with Lincoln Financial Advisors, Subject of Several Complaints SOUTHFIELD, MICHIGAN Have you invested with John Bussa from Southfield, Michigan? Our firm is reviewing allegations made by several customers who have filed claims against his brokerage firm, Lincoln Financial Advisors. Bussa has been the subject of eight customer complaints, two of which are still…