Israels & Neuman, PLC | Blog | Securities & Investment Fraud Law Firm

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24

Oct

WARNING: Investigation of STEVEN YELLEN – El Paso, TX

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL

Steven Yellen, formerly with Morgan Stanley and Ameriprise Financial Services, Suspended from Securities Industry Have you lost money with financial advisor Steven Yellen of El Paso, Texas? The Law Firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Steven T. Yellen. FINRA suspended Yellen from the …
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24

Oct

INVESTIGATION of DANIEL ARCURI – Greensburg, PA

INVESTOR ALERT! Daniel Arcuri of Thrivent Investments Management in Greensburg, PA

Daniel Arcuri, formerly with Thrivent Investment Management, Subject of FINRA Complaint Have you lost money with financial advisor Daniel Arcuri? The Law Firm of Israels & Neuman is investigating allegations made about Daniel J. Arcuri, Jr. from Greensburg, Pennsylvania. FINRA (the Financial Industry Regulatory Authority) seeks to bar Arcuri from the securities industry. FINRA …
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24

Oct

JAMES THOMAS BOOTH Guilty of Stealing $5 Million From Clients

James Thomas Booth of Invest Financial and LPL Financial in Norwalk, CT Guilty of Fraud

James Thomas Booth, formerly with Invest Financial Corp. and LPL Financial, Pleads Guilty to Securities Fraud Have you lost money with financial advisor James Thomas Booth of Norwalk, Connecticut? We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC) and FINRA (the Financial Industry Regulatory Authority). James Booth recently …
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23

Oct

UPDATE! CAMERON HIGH and DAVID HANSEN Over-Billing Clients $11.8 M

Investigation of Alan New of NYLife Securities in Fort Wayne, IN

Cameron High, formerly with Crown Capital Securities, Barred by SEC – Idaho Falls, ID Have you lost money with financial advisor Cameron G. High of Idaho Falls, Idaho? We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC) against Cameron High, his co-owner David H. Hansen, and their firm Yellowstone …
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17

Oct

WARNING! Investigation of ELTON NORMAN of Fort Worth, TX

Investor Alert! Louis Cook of National Planning in Staten Island, NY

Elton Norman, formerly with First Command Financial Planning, Barred from Securities Industry Have you lost money with financial advisor Elton Norman from Fort Worth, Texas? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Elton Norman. FINRA barred Elton Norman from the securities industry after he failed to respond …
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16

Oct

UPDATE: Investigation of DANIEL MAUGHAN of Los Angeles, CA

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN

Daniel Maughan, previously with Financial West Group, Barred from Securities Industry Have you lost money with financial advisor Daniel Maughan? We are continuing to investigate allegations made about Daniel Gordon Maughan from Los Angeles, California. FINRA (the Financial Industry Regulatory Authority) was investigating Daniel Maughan, a broker who previously worked with Financial West Group. …
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15

Oct

INVESTIGATION of LOUIS MARK MILLER of LPL Financial – Jericho, NY

Investigation of Donald Woods of LPL Financial in Louisville, KY

Louis Mark Miller, previously with LPL Financial, Barred from Securities Industry Have you lost money with financial advisor Louis Mark Miller? We are continuing to investigate allegations made about Louis Mark Miller from Jericho, New York. FINRA (the Financial Industry Regulatory Authority) filed a complaint in July 2019, seeking to bar Miller from the …
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12

Oct

WARNING! Investigation of STEPHEN KLINGER – Asheville, NC

INVESTOR ALERT! Walter Stucker of Wells Fargo in Forth Worth, TX

Stephen Klinger, formerly with Wells Fargo, Barred from Securities Industry Have you lost money with financial advisor Stephen Klinger from Asheville, North Carolina? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Stephen John Klinger. FINRA barred Steve Klinger from the securities industry after he failed to respond to …
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11

Oct

WARNING! Investigation of MAUREEN SCALZO — Danbury, CT

Losses with Sean Casterline and Tuscan Gardens investments, Delta Securities and in Maitland, FL

Maureen Scalzo, formerly with Benjamin F. Edwards & Company, Barred from Securities Industry Have you lost money with financial advisor Maureen Scalzo from Danbury, Connecticut? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Maureen Ann Scalzo. FINRA barred Scalzo from the securities industry after she failed to respond …
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9

Oct

WARNING: Investigation of JAIME WESTENBARGER – Grand Rapids, MI

Jaime Westenbarger, formerly with Securities America, Barred from Securities Industry Have you lost money with financial advisor Jaime Westenbarger from Grand Rapids, Michigan? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jaime M. Westenbarger. FINRA barred Westenbarger from the securities industry after he failed to respond to an …
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WARNING: Investigation of STEVEN YELLEN – El Paso, TX

SEARCH OUR BLOGS

24

WARNING: Investigation of STEVEN YELLEN – El Paso, TX

24

INVESTIGATION of DANIEL ARCURI – Greensburg, PA

24

JAMES THOMAS BOOTH Guilty of Stealing $5 Million From Clients

23

UPDATE! CAMERON HIGH and DAVID HANSEN Over-Billing Clients $11.8 M

17

WARNING! Investigation of ELTON NORMAN of Fort Worth, TX

16

UPDATE: Investigation of DANIEL MAUGHAN of Los Angeles, CA

15

INVESTIGATION of LOUIS MARK MILLER of LPL Financial – Jericho, NY

12

WARNING! Investigation of STEPHEN KLINGER – Asheville, NC

11

WARNING! Investigation of MAUREEN SCALZO — Danbury, CT

9

WARNING: Investigation of JAIME WESTENBARGER – Grand Rapids, MI