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21
Oct

WARNING! Carlos Leston of LPL Financial is Now BARRED

Losses with Joe David Gainer of Wells Fargo in Marianna, FL
 Carlos Leston, Formerly with LPL Financial, Barred from Securities Industry WEEHAWKEN, NEW JERSEY  Are you a former client of financial advisor Carlos Leston in Weehawken, New Jersey? Israels & Neuman is looking into claims made against Jose Carlos Leston.  According to FINRA’s Disciplinary Database, Leston was recently barred from the securities industry by FINRA after he …
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19
Oct

Warning, MITCHELL BIERNICK of Arive Capital is BARRED

Losses with David Taddeo of LPL Financial in La Mesa, CA
Mitchell Biernick, Formerly with Arive Capital Markets, Barred by FINRA RONKONKOMA, NEW YORK Have you lost money with financial advisor Mitchell Biernick, formerly with Arive Capital Markets in Ronkonkoma, New York?  Israels & Neuman is reviewing a regulatory action filed by FINRA against Mitchell Biernick, who was recently barred by FINRA from the securities brokerage …
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15
Oct

Complaints Against DEAN NOWAK of Newbridge Securities in Florida

Losses with John Kasel of US Bancorp in Seattle, WA
Newbridge Securities Advisor Dean Nowak Subject of Customer Complaints WINTER PARK, FLORIDA Did you lose money investing with financial advisor Dean Nowak from Winter Park, Florida? Our securities arbitration law firm is looking into Dean Nowak, who was affiliated with Newbridge Securities.  FINRA’s BrokerCheck indicates that Nowak has been the subject of four customer complaints, …
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14
Oct

ERIC DUNCAN of Moloney Securities Accused of Unsuitable Investments

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO
Eric Duncan, formerly with Moloney Securities, Subject of Two Customer Complaints DENVER, COLORADO Have you lost money investing in bonds with Eric Duncan of Denver, Colorado?  The securities and investment fraud law firm of Israels & Neuman is looking into claims made by customers against Eric Alexander Duncan of Moloney Securities.  Since 2022, Eric Duncan …
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13
Oct

CHARLES MALICO of Network 1 Financial SUSPENDED for Churning Accounts

Losses with Angelo Anello of LPL Financial in Needham, MA
 Charles Malico, with Network 1 Financial Securities, Suspended Six Months HUNTINGTON STATION, NEW YORK  Are you a current or former client of financial advisor Charles Malico, with Network 1 Financial Securities in Huntington Station, New York?  Our securities arbitration law firm is reviewing allegations made against Charles Malico.  FINRA investigated whether Malico had been excessively …
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10
Oct

Investigation of VINCENT GRUCCI of Fortune Financial

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
Vincent Grucci, with Fortune Financial Services, Investigated by FINRA OCEAN RIDGE, FLORIDA Our securities arbitration law firm is looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Vincent Grucci, also known as Vinny Grucci, who worked in Ocean Ridge, Florida.  FINRA’s BrokerCheck discloses that FINRA has made a preliminary determination to recommend …
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4
Oct

Complaint Against DOUGLAS GOW for Sales of GWG Investments

Losses with Michael Young of Classic Asset Management in Fargo, ND
Douglas Gow, Formerly with Capital Investment Group, and Now with Dempsey Lord Smith, Subject of GWG Complaint ATLANTA, GEORGIA Did you lose money while investing with financial advisor Douglas W. Gow from Atlanta, Georgia? Our securities arbitration law firm is looking into allegations made against Douglas Gow, who was previously affiliated with Capital Investment Group …
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29
Sep

KENNETH NEW of Center Street Securities Customer Complaints

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
Center Street Securities Advisor Kenneth New Subject of GWG Complaints MERRITT ISLAND, FLORIDA Have you lost money investing in GWG L Bonds with financial advisor Kenneth New from Merritt Island, Florida? Our investment fraud law firm is looking into Kenneth New, who has been affiliated with Center Street Securities.  FINRA’s BrokerCheck indicates that Kenneth New …
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