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…
Continue reading ›Shane Wilhelm, Formerly of Suntrust Investment, Suspended by FINRA MONETA, VIRGINIA Are you a former client of stockbroker Shane Wilhelm, formerly with Suntrust Investment Services and Fortune Financial Services in Moneta, Virginia? The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations regarding Shane Wilhelm after FINRA (the Financial Industry…
Continue reading ›Gregory Iglow, with Oppenheimer & Co., Subject of Complaints LOS ANGELES, CALIFORNIA Did you lose money with financial advisor Gregory Iglow with Oppenheimer & Co. in Los Angeles, California? Our law firm is looking into claims made by current or former clients Gregory Iglow, who has been a representative of Oppenheimer since June 2007. According…
Continue reading ›Joseph Hurley, with Cambridge Investment Research, Subject of Customer Complaint BATTLE GROUND, WASHINGTON Have you invested with Joseph Hurley from Battle Ground, Washington? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made by a customer who filed a claim against Joseph Hurley’s brokerage firm, Cambridge Investment Research. In…
Continue reading ›Robert Starnes Fired with SA Stone Wealth Management WAUWATOSA, WISCONSIN Are you a former client of financial advisor Robert Starnes formerly with SA Stone Wealth Management in Wauwatosa, Wisconsin? Starnes registration with SA Stone Wealth Management was terminated in May 2023. He was fired after an executor of an estate complained that he accepted funds…
Continue reading ›Daniel Lauletta, formerly with MML Investors Services, Barred by Arkansas CLEVELAND, OHIO Did you invest with financial advisor, Daniel Lauletta of Cleveland, Ohio? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made by the Arkansas Securities Department, against Daniel Lauletta. Arkansas revoked his securities license regarding allegations that he…
Continue reading ›Abbe Wollins, Formerly of David Lerner Associates, Suspended by FINRA BOCA RATON, FLORIDA Did you invest in oil and gas investments with financial advisor Abbe Wollins, formerly with David Lerner Associates in Boca Raton, Florida? Our law firm is looking into claims made by FINRA against Abbe Wollins. FINRA has suspended Wollins from the securities…
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ORLAND PARK, ILLINOIS – Have you lost money with financial advisor Eric P. Burton. of Orland Park, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eric Burton. FINRA suspended Burton for three months and fined him $5,000. Burton was being investigated regarding allegations that he falsified documents in connection…
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Carlos Hurtado, formerly with Spartan Capital Securities, Barred by FINRA NEW YORK, NY – Have you lost money with financial advisor Carlos A. Hurtado. of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Carlos Hurtado. FINRA barred Hurtado after he failed to respond to an investigation.…
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Financial Advisor Accused of Concentrating Investments in Business Development Companies BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in BDCs,…
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