Articles Posted in lawyer

David Wong, With Integrity Brokerage, Subject of FINRA Complaints SEATTLE, WASHINGTON Israels & Neuman is reviewing allegations made by FINRA against David Wong, who owns and operates Integrity Brokerage in Seattle, Washington. FINRA wants to punish this advisor according to a May 2024 complaint. FINRA has alleged that David Wong misappropriated about $9,500 from three…

FINRA Seeks to Bar Criminally Charged Farmington Hills Advisor, Gary Harpe FARMINGTON HILLS, MICHIGAN Did you invest with Gary Harpe, formerly with PFS Investments (Primerica) in Farmington Hills, Michigan? Our securities arbitration law firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against advisor Gary Harpe. FINRA brought a complaint seeking…

Michael Grande, Formerly of Newbridge Securities, Subject of FINRA Complaint FORT LAUDERDALE, FLORIDA Are you a former customer of Michael Grande, formerly with Newbridge Securities in Fort Lauderdale, Florida? Our law firm is reviewing allegations made by FINRA against this advisor. FINRA seeks to bar him from the securities brokerage industry in an April 2024…

Brent Fuchs, with Lincoln Financial Advisors, Subject of Customer Complaints PRESTON, MARYLAND Have you invested with Brent Fuchs from Preston, Maryland? We are looking into complaints made by several customers who filed claims against his brokerage firm, Lincoln Financial Advisors. The brokerage firm was named in a group claim by seven customers, all alleging that…

Morgan Stanley Fires Advisor Joel Freedman CONSHOHOCKEN, PENNSYLVANIA Are you a former customer of financial advisor Joel Freedman from West Conshohocken, Pennsylvania? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Joel Freedman, who was fired by his brokerage firm, Morgan Stanley in March 2024. The firm fired…

Michael Young, with Classic Asset Management, Subject of Customer Complaint FARGO, NORTH DAKOTA Have you lost money with financial advisor Michael Young of Fargo, North Dakota? Our law firm is looking into claims made by a customer of Young, who provided investment advisory services through Classic Asset Management. According to the complaint, he was negligent…

Former Ameriprise Financial Services Advisor Cynthia Beyerlein Suspended LANCASTER, PENNSYLVANIA Have you invested with financial advisor Cynthia Beyerlein from Lancaster, Pennsylvania? She was suspended for eight months by FINRA. FINRA began its investigation of Beyerlein after she was fired by her brokerage firm, Ameriprise Financial Services. She was under internal investigation by Ameriprise Financial Services,…

Former Cantella & Co. advisor Robert Gleason Suspended OWENSBORO, KENTUCKY Are you a former customer of stockbroker Robert Gleason Jr., formerly with Cantella & Co. in Owensboro, Kentucky? Gleason, who was affiliated with Cantella & Co. from November 2016 to December 201, was under investigation by the Financial Industry Regulatory Authority (FINRA) for potentially violating…

Warrant Issued for Former Royal Fund Management Advisor William Berg WAUKEE, IOWA Did you invest with William Berg, also known as Bill Berg, formerly with Royal Fund Management? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against this advisor. In March 2024, a federal arrest warrant was…

American Portfolios Financial Services Fires Advisor Peter Lawrence HAUPPAUGE, NEW YORK Have you invested with financial advisor Peter Lawrence from Hauppauge, New York? He was fired by American Portfolios Financial Services in October 2023 regarding allegations that he sent unapproved reports to clients that contained inaccuracies. In addition, Peter Lawrence has been the subject of…