Joseph Thurnherr, previously with Spartan Capital Securities, Barred by FINRA Have you lost money with financial advisor Joseph Thurnherr?  The Law Firm of Israels & Neuman is investigating allegations made about Joseph M. Thurnherr from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry and alleged that he …
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Christopher Parr, formerly with KCD Financial, Suspended Two Years from Securities Industry Have you lost money with financial advisor Christopher Parr of Overland Park, Kansas?  The Law Firm of Israels & Neuman is investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Christopher M. Parr.  Parr was suspended from the securities industry for …
Read More "UPDATE: Christopher Parr of KCD Financial SUSPENDED – Overland Park, KS"

Next Financial Group Fined Over Conduct of Charles Kulch Have you lost money with financial advisor Charles Kulch of Nashua, New Hampshire?  We are investigating allegations made by the New Hampshire Securities Bureau against Next Financial Group, regarding the conduct of one of its advisors, Charles Kulch.  New Hampshire alleged that the firm failed to …
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David Dalton, formerly with Moors & Cabot, Suspended from Securities Industry Have you lost money with financial advisor David Dalton of Boston, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David F. Dalton. FINRA suspended Dalton from the securities industry for three months and fined $7,500.  It was alleged …
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Robert Escobio, previously with Southern Trust Securities, Barred by FINRA Have you lost money with financial advisor Robert Escobio?  We are continuing to look into allegations made by FINRA.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that he failed to respond to its investigation.   FINRA was investigating him …
Read More "UPDATE! Robert Escobio of Southern Trust BARRED – Miami, FL"

Daniel Arcuri, formerly with Thrivent Investment Management, Barred from Securities Industry Have you lost money with financial advisor Daniel Arcuri of Thrivent Investment Management in Greensburg, PA?  In February 2020, FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleges that he misused customer funds and engaged in undisclosed outside business …
Read More "UPDATE: Daniel Arcuri of Thrivent is Now BARRED – Greensburg, PA"

Israels & Neuman, PLC Investigates Charles Stevens, of D.H. Hill Securities Have you lost money with financial advisor Charles T. Stevens (CRD# 1698058) of D.H. Hill Securities in Humble, Texas?  We are investigating allegations of former customers related to Charles Stevens. Charles Stevens’s CRD report, a public record maintained by FINRA, states that he has …
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Elias Herbert Hafen, formerly with Morgan Stanley and Wells Fargo, Sentenced to 30 Months Prison Have you lost money with financial advisor Elias Herbert Hafen, (aka Elias Herbert Niggebrugge) of Morgan Stanley and Wells Fargo in New York, New York?  You may be able to recover losses. The Law Firm of Israels & Neuman is …
Read More "VICTIM RECOVERY: Losses with ELIAS HERBERT HAFEN of Morgan Stanley – NY"

Peter Monson, with Van Clemens & Co., Suspended from Securities Industry Have you lost money with financial advisor Peter Douglas Monson from Minneapolis, Minnesota?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Peter Douglas Monson. FINRA suspended him from the securities industry for six months and fined $7,500.  Monson …
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