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9
May

Complaints Against Cetera Advisor REBECCA KING WAH NG-TSANG

Losses with Steven W. Schmitt of Morgan Stanley in New York, NY
Former Cetera Investment Services Advisor Rebecca King Wah Ng-Tsang Subject of Several Customer Complaints BELLEVUE, WASHINGTON  Have you lost money investing with former Cetera Investment Services advisor Rebecca King Wah Ng-Tsang?  Our Denver and Seattle-based law firm is looking into allegations made against The Cetera advisor, from Bellevue, Washington.  According to FINRA’s BrokerCheck, she has …
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8
May

JOSEPH CRESPI of Stifel Nicolaus Accused of Excessive Trading

Losses with Richard Critelli of Fifth Third Securities in Marietta, GA
Stifel Nicolaus & Company Ordered to Pay $3.2 Million Regarding Joseph Crespi and Excessive Trading in Customer Accounts ST. LOUIS, MISSOURI Did you lose money investing with advisor Joseph Crespi, formerly with Stifel Nicolaus & Company?  Recently, the Massachusetts Securities Division brough a claim against Stifel Nicolaus, which is a St. Louis, Missouri-based brokerage firm. …
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5
May

DOUGLAS SCHMITZ of Classic Asset Management Subject of SEC Action

Losses with David Wong of Integrity Brokerage in Seattle, WA
Douglas Schmitz, with Classic Asset Management, Subject of SEC Action FARGO, NORTH DAKOTA Have you lost money with financial advisor Douglas Schmitz of Fargo, North Dakota?  Our law firm is looking into claims made by the Securities and Exchange Commission of Douglas Schmitz, who owns Classic Asset Management and Classic LLC.  The SEC alleged that …
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2
May

CULLEN FACTOR of Western International is BARRED by FINRA

Losses with Edward Steven Mercer of Cambridge Investment in Coral Springs, FL
 Cullen Factor, Formerly with Western International Securities, Barred from Securities Industry WELLESLEY HILLS, MASSACHUSSETTS Have you invested with stockbroker Cullen David Factor in Wellesley Hills, Massachusetts? Our securities arbitration firm is reviewing allegations made by FINRA (the Financial Industry Regulatory Authority) against Cullen Factor, who previously was a representative of Western International Securities. Cullen David …
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29
Apr

Investigation of AL VANDERLAAN of Westpark Capital in Watertown, SD

Losses with John Kasel of US Bancorp in Seattle, WA
Former Westpark Capital Advisor Al Vanderlaan and GWG WATERTOWN, SOUTH DAKOTA Did you invest with financial advisor Al Vanderlaan from Watertown, South Dakota? Our law firm is reviewing allegations made against Alfred Vanderlaan, who was a registered representative of Westpark Capital from May 2019 to June 2022.  According to FINRA’s BrokerCheck, Vanderlaan and Westpark Capital …
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28
Apr

Complaints Against HILLARD REST of JRL Capital for Sales of GWG

Losses with Richard Critelli of Fifth Third Securities in Marietta, GA
Hillard Rest, Formerly with JRL Capital Corp., Subject of GWG Complaints NEWPORT BEACH, CALIFORNIA Did stockbroker Hillard Rest from Newport Beach, California recommend GWG L bonds to you? We are looking into claims made against the financial advisor, who previously worked with JRL Capital Corp. Rest’s BrokerCheck report shows that he has been the subject …
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27
Apr

MATTHEW MANGINI of Crown Capital is SUSPENDED

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY
Matthew Mangini, Formerly with Crown Capital Securities, Suspended LAND O’LAKES, FLORIDA Did you invest with Matthew Mangini from Land O’Lakes, Florida?  Our securities arbitration law firm is reviewing claims made by FINRA, against Matthew H. Mangini, who formerly was a representative of Crown Capital Securities and Purepath Wealth Management.  In April 2023, Mangini was suspended …
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26
Apr

Complaints Against RAYMOND LENT of Portsmouth Financial in California

Losses with Michael Grande of Newbridge Securities in Fort Lauderdale, FL
Raymond Lent, with Portsmouth Financial Services, Subject of GWG Complaints SAN RAFAEL, CALIFORNIA Did you purchase GWG L bonds from advisor Raymond Lent from San Rafael, California? Our securities arbitration law firm is looking into allegations made against Raymond Lent, who has been affiliated with Portsmouth Financial Services since 2010. Portsmouth Financial Services has been …
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