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Christopher Polinaire, Formerly with Arive Capital Markets, Suspended RONKONKOMA, NEW YORK Did you lose money with financial advisor Christopher Polinaire, who previously worked with Arive Capital Markets in Ronkonkoma, New York? Our investment fraud law firm is looking into claims made against Christopher Polinaire. According to FINRA’s website, FINRA investigated whether Polinaire had been excessively…

MELVILLE, NY Have you lost money with financial advisor Daniel James O’Neill of Aegis Capital in Melville, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel James O’Neill. Earlier in 2021, FINRA has named O’Neill in a regulatory complaint, alleging that O’Neill excessively traded or churned customer accounts.…

HAUPPAUGE, NEW YORK Have you lost money with financial advisor Douglas Rosenberg, with Joseph Stone Capital in Hauppauge, New York? We are looking into allegations made against Douglas J. Rosenberg. Rosenberg was the subject of an investigation by FINRA. FINRA investigated whether Rosenberg had been excessively trading or churning customer accounts. To settle these allegations,…

FORT LAUDERLDALE, FLORIDA Have you lost money with financial advisor Robert Wolfe, formerly with Cetera Advisor Networks and Girard Securities in Fort Lauderdale, Florida? We are looking into allegations made against Robert B. Wolfe. Wolfe has been the subject of five customer complaints, all of which were made within the last year-and-a-half. The complaint alleges…

TOTOWA, NEW JERSEY Have you lost money with financial advisor Jeffrey Dampf, formerly with PFS Investments in Totowa, New Jersey? We are looking into allegations made against Jeffrey Dampf. Dampf was barred from the securities industry after he failed to respond to a FINRA investigation. Jeffrey Dampf was being investigated after it was alleged that…

MONTEREY PARK, CALIFORNIA Have you lost money with financial advisor Joshua Helmle, formerly with Integrity Brokerage Services in Monterey Park, California? We are looking into allegations made against Joshua Helmle. Helmle has been the subject of two customer complaints, one of which was made within the last year. The complaint alleges losses in private placements…

MIAMI, FLORIDA Have you lost money with financial advisor Alberto Valdes, formerly with Raymond James Financial and now with Citigroup in Miami, Florida? We are looking into allegations made against Alberto Valdes. Valdes has been the subject of two customer complaints, one of which was made within the last year. One of the complaints alleges…

WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…

SAN DIEGO, CALIFORNIA Have you lost money with financial advisor Lanny Howarter, with Crown Capital Securities in San Diego, California? We are looking into allegations made against Lanny Howarter. Howarter has been the subject of seven customer complaints, three of which were made within the last year. Many of the complaints allege unsuitable investments in…

SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and…