Articles Posted in lawyer

Former Northwestern Mutual Advisor Justin Maher Suspended for Crypto Sales NEW HAVEN, CT Did you invest in cryptocurrencies with Justin Maher of Northwestern Mutual? In September 2023, he was suspended from the securities brokerage industry for 12 months and fined $10,000 for selling cryptocurrency investments without disclosing it to his former brokerage firm, Northwestern Mutual.…

John Sullivan, Formerly of Brokers International Financial Services, Subject of FINRA Complaint COLUMBIA, MARYLAND Are you a former customer of John Sullivan, formerly with Brokers International Financial Services and International Assets Advisory in Columbia, Maryland? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA against John David…

PTS Brokerage Advisor Ronald Smith Expelled MOORESTOWN, NEW JERSEY Are you a former client of financial advisor Ronald Smith, formerly with PTS Brokerage? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made regarding Ronald Burton Smith who worked in a Moorestown, New Jersey office. FINRA (the Financial Industry Regulatory…

Christopher Cavallaro, Formerly with Lincoln Financial Advisors, Subject of Customer Complaints FALMOUTH, MASSACHUSETTS Have you invested with Christopher Cavallaro from Falmouth, Massachusetts? The securities and investment fraud law firm of Israels & Neuman is looking into complaints made by several former customers who have filed claims against Christopher Cavallaro’s former brokerage firm, Lincoln Financial Advisors.…

LPL Financial Fires Advisor John Dougherty BLUE BELL, PENNSYLVANIA Have you invested with financial advisor John Dougherty from Blue Bell, Pennsylvania? Our law firm is looking into allegations made against John Dougherty. John Dougherty was fired by LPL Financial in July 2023, according to his BrokerCheck Report (linked below). John A. Dougherty held his securities…

Keliikai Castillo Fired by UnionBanc Investment Services SEATTLE, WASHINGTON Are you a former client of Keliikai Castillo with UnionBanc Investment Services in Seattle, Washington? He was fired by UnionBanc Investment Services in July 2023. According to BrokerCheck, Castillo engaged in unreported outside business activities and private securities transactions. In simple terms, this means that he…

Kevin Carroll Fired by LPL Financial GLASTONBURY, CONNECTICUT Are you a former client of Kevin Carroll, formerly with LPL Financial in Glastonbury, Connecticut? According to FINRA’s BrokerCheck website, Mr. Carroll was terminated by LPL Financial in July 2021, regarding allegations that he made transactions in a customers’ account without written authorization. FINRA has also brought…

Stephen Sperling, with Wintrust Investments, Subject of Several Complaints PALATINE, ILLINOIS Have you invested with Stephen Sperling from Palatine, Illinois? Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments. View his BrokerCheck Report HERE. Sperling has been a registered representative of…

Equity Services Advisor Wesley Triani Expelled by FINRA HAUPPAUGE, NEW YORK Financial advisor Wesley Triani has been barred from the securities industry by FINRA. Triani, who previously worked with Equity Services, failed to respond to a FINRA investigation, which led to the expulsion. View his BrokerCheck here. View FINRA AWC Here. Mr. Triani was the…

Moors and Cabot Advisor Damian Baird Suspended by FINRA WILLIAMSVILLE, NEW YORK Financial advisor Damian Baird has been indefinitely suspended by FINRA, as of June 2023. Damian Mark Baird, who previously worked with Moors & Cabot and Morgan Stanley in Williamsville, NY failed to respond to a FINRA investigation, which led to the suspension. An…