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

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31

Jul

STEVEN HILL of Wells Fargo Subject of COMPLAINTS

Losses with Justin Maher of Northwestern Mutual in New Haven, CT

Losses in Structured CDs with Steven Hill of Wells Fargo ATWATER, CALIFORNIA Did you lose money with stockbroker Steven Hill in Atwater, California? Israels & Neuman is looking into claims made against Steven Hill, with Wells Fargo. FINRA’s BrokerCheck shows that Hill has been the subject of nine customer complaints, two of which have been …
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31

Jul

CLARICE SAW of Cetera is Charged with FRAUD

Losses with Clarice Saw of Cetera Investment in Flushing, NY

Clarice Saw, Formerly with Cetera Investment Services, Charged by SEC FLUSHING, NEW YORK Did you lose money with financial advisor Clarice Saw, formerly with Cetera Investment Services in Flushing, New York? Saw was recently charged with fraud by the Securities and Exchange Commission (SEC). According to the SEC press release, Clarice Saw had misappropriated $2.4 …
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31

Jul

NATHAN PAULSON of APW Capital Subject of Customer Complaint

Losses with Nathan Paulson of APW Capital in Wheaton, IL

Nathan Paulson, Formerly with APW Capital, Subject of Customer Complaint WHEATON, ILLINOIS Did you lose money with advisor Nathan Paulson, formerly with APW Capital in Wheaton, Illinois? Nathan R. Paulson, who previously was licensed with APW Capital, was the subject of a customer complaint filed in June 2023. The customer filed the case in FINRA …
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30

Jul

GIANLUCA DE BERARDINIS of Morgan Stanley Allowed to Resign

Losses with Gregory Corrie of Cambridge Investment Research in Boise, ID

Gianluca De Berardinis Allowed to Resign By Morgan Stanley NEW YORK, NY Are you a former client of financial advisor Gianluca De Berardinis in New York City? According to FINRA’s BrokerCheck website, he voluntarily “resigned” from his brokerage firm, Morgan Stanley in June. According to BrokerCheck, Gianluca De Berardinis was alleged to have been involved …
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25

Jul

WILLIAM HORAK of Purshe Kaplan Subject of GWG Complaints

Losses with William Horak of Purshe Kaplan in Tallahassee, FL

William Horak, with Purshe Kaplan Sterling, Subject of GWG Complaints TALLAHASSEE, FLORIDA Have you invested in GWG L bonds or the ARC Hospitality Trust through Purshe Kaplan Sterling? Our securities arbitration law firm is looking into claims made against William Horak who has been with Purshe Kaplan Sterling since May 2014. William Horak has been the …
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25

Jul

JOHN JAY KERSEY Permitted to Resign by Northwestern Mutual

Losses with Gino Rahman of Merrill Lynch in Bloomfield Hills, MI

Advisor John Jay Kersey Permitted to Resign By Northwestern Mutual CINCINNATI, OHIO Are you a former client of financial advisor John Jay Kersey in Cincinnati, Ohio? Mr. Kersey was “permitted to resign” by his former brokerage firm, Northwestern Mutual. According to his BrokerCheck report linked below, John Jay Kersey had been with Northwestern Mutual since …
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24

Jul

SHANE WILHELM of Suntrust Investment is SUSPENDED

Losses with John Christoforidis of Spartan Capital in Garden City, NY

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 …
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24

Jul

ERIC TARTAGLIONE of Investment Network is BARRED

Losses with Archibald McMichael of Lifemark Securities in Wayne, PA

Eric Tartaglione, Formerly with Investment Network, Barred from Securities Industry WOODBRIDGE, NEW JERSEY Have you invested with stockbroker Eric Tartaglione in Woodbridge, New Jersey? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Mr. Tartaglione. In July 2023, FINRA’s Disciplinary Database shows that he was barred from the …
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20

Jul

LYNN BRYANT of LPL Financial is BARRED for Private Securities Sales

Losses with Lynn Bryant of LPL Financial in Hurst, TX

Lynn Bryant, Formerly with LPL Financial, Barred from Securities Industry HURST, TEXAS The investment fraud and securities arbitration law firm of Israels & Neuman is looking into claims made by FINRA against Lynn Bryant, formerly with LPL Financial. Bryant, who worked in Hurst, Texas, was recently barred by FINRA from the securities industry after she …
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20

Jul

ROY KEVIN WILLIAMS Fired by Stifel Nicolaus for “Borrowing” Money

Losses with Roy Kevin Williams of Stifel Nicolaus in Indianapolis, IN

Roy Kevin Williams Fired by Stifel Nicolaus & Company INDIANAPOLIS, INDIANA Are you a former client of Roy Kevin Williams, formerly with Stifel Nicolaus & Company in Indianapolis, Indiana? Roy Kevin Williams was fired by Stifel Nicolaus & Company in May 2023. The brokerage firm alleged that Williams borrowed money from a customer between 2019 …
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STEVEN HILL of Wells Fargo Subject of COMPLAINTS

SEARCH OUR BLOGS

31

STEVEN HILL of Wells Fargo Subject of COMPLAINTS

31

CLARICE SAW of Cetera is Charged with FRAUD

31

NATHAN PAULSON of APW Capital Subject of Customer Complaint

30

GIANLUCA DE BERARDINIS of Morgan Stanley Allowed to Resign

25

WILLIAM HORAK of Purshe Kaplan Subject of GWG Complaints

25

JOHN JAY KERSEY Permitted to Resign by Northwestern Mutual

24

SHANE WILHELM of Suntrust Investment is SUSPENDED

24

ERIC TARTAGLIONE of Investment Network is BARRED

20

LYNN BRYANT of LPL Financial is BARRED for Private Securities Sales

20

ROY KEVIN WILLIAMS Fired by Stifel Nicolaus for “Borrowing” Money