Arlington Heights, Illinois If you’re a past or present client of financial advisor Richard Ceffalio from Arlington Heights, Illinois, our law firm is investigating allegations against him. In May 2024, Ceffalio was terminated by LPL Financial due to claims that he solicited a loan from a client. Typically, financial advisors are prohibited from borrowing from…
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Andrew Egber, Formerly with Wells Fargo, Barred by FINRA from the Securities Industry BETHESDA, MARYLAND Are you a former client of Andrew Egber in Bethesda, Maryland? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations against Andrew Egber, who previously worked with Wells Fargo, Raymond James, and Steward…
Continue reading ›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…
Continue reading ›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…
Continue reading ›Ebony Parks, Formerly with LPL Financial, Suspended Indefinitely by FINRA DAVENPORT, IA Have you suffered investment losses because of recommendations made by advisor Ebony Parks? Our securities arbitration law firm is looking into allegations made against former LPL Financial and Wells Fargo financial advisor Ebony Parks, from Davenport, Iowa. She was indefinitely suspended by FINRA…
Continue reading ›Helen Caldwell, Formerly with Citigroup Global Markets, Barred from Securities Industry CHICAGO, ILLINOIS Did you invest with stockbroker Helen Caldwell in Chicago, Illinois? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Helen Caldwell. FINRA’s Disciplinary Database shows that earlier this month, she was barred from the securities…
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BOCA RATON, FLORIDA Have you lost money with financial advisor Paul Fordham, formerly with David Lerner Associates in Boca Raton, Florida? We are looking into allegations made against Paul T. Fordham, Sr. Fordham has been the subject of a customer complaint, which was made within the last year. The complaint alleges losses in Energy 11,…
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PALM HARBOR, FLORIDA Have you lost money with financial advisor Courtney Kaplan, formerly with LPL Financial and Wells Fargo in Palm Harbor, Florida? We are looking into allegations made against Courtney Kaplan. Kaplan was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA alleged that Kaplan borrowed money…
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FAIRFIELD, NEW JERSEY Have you lost money with financial advisor Kenneth Welsh, formerly with Wells Fargo in Fairfield, New Jersey? We are looking into allegations made against Kenneth A. Welsh. Welsh was recently charged with wire fraud by the U.S. Attorney’s Office in New Jersey for stealing money from clients. He is alleged to have…
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Israels & Neuman, PLC Investigates Phillip Anderson, of Kingswood Capital Partners ROSEVILLE, CALIFORNIA – Have you lost money with financial advisor Phillip Curtis Anderson, of Kingswood Capital Partners in Roseville, California? We are looking into allegations made against Phillip Anderson, who has been the subject of two customer complaints, one which was filed in 2021.…
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