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

SEARCH OUR BLOGS

11

Apr

LESLIE KERN Subject of Unsuitable Investment Complaints

Losses with Brian Scott Graham of Cetera Advisor Networks in Plainfield, IL

Leslie Kern, Formerly with D.H. Hill Securities, Subject of Customer Complaints WILMINGTON, NORTH CAROLINA Are you a client of Leslie Kern, with D.H. Hill Securities in Wilmington, North Carolina? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made by FINRA against Leslie Howard Kern. BrokerCheck reveals that Kern was …
Read More

10

Apr

COMPLAINTS Against GREGORY BARSON and Crown Capital Securities

Losses with Pierre Hilario of SW Financial in Melville, NY

Customer Complaint Pending Against Crown Capital Securities Involving Gregory Barson LAS VEGAS, NEVADA Were you a former customer of financial advisor Gregory Barson? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against former Crown Capital Securities advisor Gregory Barson, in Las Vegas, Nevada. According to FINRA’s BrokerCheck, Barson …
Read More

9

Apr

COMPLAINTS Against ALVERY BARTLETT of Berthel Fisher

Losses with Steven W. Schmitt of Morgan Stanley in New York, NY

Alvery Bartlett, Formerly with Berthel Fisher, Subject of Six Complaints ST. LOUIS, MISSOURI Did you have investments with financial advisor Alvery Bartlett, who had been an advisor with Berthel Fisher in St. Louis, Missouri? The securities and investment fraud law firm of Israels & Neuman is examining allegations made by customers of Alvery A. Bartlett, …
Read More

9

Apr

COMPLAINTS Against SETH MASON of Morgan Stanley

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO

Seth Mason, Formerly with Morgan Stanley, Subject of Seven Complaints GRAND RAPIDS, MICHIGAN Have you invested with Seth Mason from Grand Rapids, Michigan? Our securities arbitration law firm is reviewing claims made by FINRA, against Seth Gordon Mason. Mason, who was licensed with Morgan Stanley from June 2009 to March 2022, has been the subject …
Read More

8

Apr

STEWART GINN of Independent Financial Under INVESTIGATION

Losses with Michael Young of Classic Asset Management in Fargo, ND

Stewart Ginn, with Independent Financial Group, Under FINRA Investigation ENCINITAS, CALIFORNIA Did you lose money with financial advisor Stewart Ginn, who works with Independent Financial Group in Encinitas, California? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Stewart Ginn. According to FINRA’s Disciplinary Database, FINRA has …
Read More

7

Apr

Investigation of DANIEL RAUPP of Condorde Investment

Losses with Ronald Sagasser of W&S Brokerage in Miamisburg, OH

Investment Fraud Law Firm Investigates Daniel Raupp of Concorde Investment Services SETAUKET, NEW YORK Have you lost money with financial advisor Daniel Raupp, formerly of Concorde Investment Services in Setauket, New York? We are looking into allegations made against Daniel Raupp, who has been the subject of 11 customer complaints, 10 of which have been …
Read More

7

Apr

Advisor JAMES VIKTORA of Merrill Lynch is Fired

Losses with Akinfolarin Sessi of Edward Jones in St. Louis, MO

James Viktora Fired from Merrill Lynch ORLAND PARK, ILLINOIS Are you a former client of financial advisor James Viktora, formerly with Merrill Lynch in Orland Park, Illinois? Mr. Viktora was fired by Merrill Lynch in February 2023. According to FINRA’s BrokerCheck, Jim Viktora was fired for “conduct involving entering into a financial arrangement with a …
Read More

2

Apr

DAVID MORRIS of Stifel Nicolaus is SUSPENDED

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY

David Morris, Formerly with Stifel Nicolaus & Company, Suspended by FINRA CHICAGO, ILLINOIS Are you a former client of David Morris, formerly with Stifel Nicolaus & Company in Chicago, Illinois? Israels & Neuman is reviewing claims made by FINRA against David Jeffrey Morris. David Morris was indefinitely suspended by FINRA in February 2023 because Morris …
Read More

28

Mar

SURAGE ROSHAN PERERA of Aegis Capital is Indicted

Losses with Rajesh Markan of Merrill Lynch in Dallas, TX

Surage Perera, formerly with the Aegis Capital Corp., Indicted MELVILLE, NEW YORK Have you lost money with financial advisor Surage Roshan Perera of Queens, New York? Surage Perera was previously affiliated with a brokerage firm called Aegis Capital Corp., from April 2018 to September 2022. He worked in a Melville, New York office but lived …
Read More

16

Mar

Complaints Against PAMELA ESPINOSA of SII Investments

Losses with Robert Daly of Morgan Stanley in Beverly Hills, CA

Former SII Investments Advisor Pamela Espinosa Subject of Recent Complaint ALBUQUERQUE, NEW MEXICO Are you a current or former client of financial advisor Pamela Espinosa from Albuquerque, New Mexico? Our law firm is reviewing claims made against by former customers of Pamela Espinosa, who was worked with SII Investments from April 2011 to November 2017 …
Read More

Call for a Free Consultation

(720) 599-3505

LESLIE KERN Subject of Unsuitable Investment Complaints

SEARCH OUR BLOGS

11

LESLIE KERN Subject of Unsuitable Investment Complaints

10

COMPLAINTS Against GREGORY BARSON and Crown Capital Securities

9

COMPLAINTS Against ALVERY BARTLETT of Berthel Fisher

9

COMPLAINTS Against SETH MASON of Morgan Stanley

8

STEWART GINN of Independent Financial Under INVESTIGATION

7

Investigation of DANIEL RAUPP of Condorde Investment

7

Advisor JAMES VIKTORA of Merrill Lynch is Fired

2

DAVID MORRIS of Stifel Nicolaus is SUSPENDED

28

SURAGE ROSHAN PERERA of Aegis Capital is Indicted

16

Complaints Against PAMELA ESPINOSA of SII Investments