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21
Jul

DAVID HIXON of Morgan Stanley SUSPENDED for Taking Customer Loans

Losses with Michael Solomon of Maxim Group in New York City, NY
David Hixon, formerly with Morgan Stanley, Suspended by FINRA SCOTTSDALE, ARIZONA Are you a former customer of David Hixon, formerly with Morgan Stanley?  Our investment fraud law firm is looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against David Hixon, who worked in Scottsdale, Arizona.  Hixon has been indefinitely suspended by FINRA …
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20
Jul

ROBIN TALIAFERRO of Western International Securities is BARRED

Losses with Joe David Gainer of Wells Fargo in Marianna, FL
IRVINE, CALIFORNIA Have you lost money investing with financial advisor Robin Taliaferro from Irvine, California?  Israels & Neuman is looking into claims made by FINRA, against Robin Lee Taliaferro.  In July 2021, FINRA initiated an investigation into Robin Taliaferro. The FINRA investigation was opened as a result of an SEC examination at a prior brokerage …
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18
Jul

DAVID MENASHE of Benchmark Investments is BARRED for Churning

Losses with Arthur Grossbard of Royal Alliance in West Orange, NJ
David Menashe, Formerly with Benchmark Investments, Barred by FINRA NEW YORK, NY Are you a former client of David Menashe, formerly with Benchmark Investments, Newbridge Securities, and Joseph Stone Capital in New York City?  Our investment fraud firm is reviewing claims made by FINRA against David Menashe.  FINRA barred Menashe from the securities brokerage industry …
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17
Jul

FRANZ LAMBERT of Spartan Capital SUSPENDED for Excessive Trading

Losses with Michael Valenta of Cambridge Investment Research in Westminster, CO
Franz Lambert, Formerly of Spartan Capital, Suspended by FINRA NEW YORK, NY Are you a former client of Franz Lambert, formerly with Spartan Capital Securities in New York City, New York?  Our securities arbitration law firm is looking into allegations made by FINRA against Franz H. Lambert.  FINRA has suspended Lambert from the securities industry …
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15
Jul

Advisor CHRISTOPHER GORDON Subject of Oil and Gas Complaints

Losses with Archibald McMichael of Lifemark Securities in Wayne, PA
Christopher Gordon, Formerly with Lincoln Financial, Subject of Oil and Gas Complaints ANNAPOLIS, MARYLAND Have you lost money investing with Christopher Gordon, formerly with Lincoln Financial Securities in Annapolis, Maryland?  Our securities arbitration law firm is reviewing claims made against Christopher J. Gordon.  According to Brokercheck, Lincoln Financial Securities Corp. has been named in three …
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14
Jul

PHILIP BOARD of Centaurus Involved in Unsuitable GWG Investments

Losses with Louis Peter Goff of Wells Fargo in Salt Lake City, UT
Philip Board with Centaurus Financial and GWG L Bonds UPLAND, CALIFORNIA Are you a current or former client of financial advisor Philip Board also known as Dana Philip Board from Upland, California? Israels & Neuman is looking into Philip Board, a financial advisor with Centaurus Financial since August 2014. Several of Board’s customers have filed …
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13
Jul

CHRISTOPHER WATKINS of LPL Involved in Multiple Complaints

Losses with Christopher Watkins of LPL Financial in Louisville, KY
Christopher Watkins, Formerly with LPL Financial, Subject of Two Customer Complaints LOUISVILLE, KENTUCKY Are you a current or former customer of Christopher Watkins of Louisville, Kentucky? Our securities arbitration law firm is looking into allegations made by customers of financial advisor Christopher Watkins, who formerly worked with LPL Financial.  Watkins has been the subject of …
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8
Jul

DAVID KARANDOS of Dinosaur Financial Group is BARRED

Losses with Michael Archimede of PFS Investments in Waukesha, WI
David Karandos, Formerly with Dinosaur Financial Group, Barred by FINRA INDIANAPOLIS, INDIANA Did you lose money investing with David Karandos, formerly with Dinosaur Financial Group in Indianapolis, Indiana?  Our securities arbitration firm is looking into claims made by FINRA against David Karandos who was barred by FINRA from the securities brokerage industry after he failed …
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30
Jun

COMPLAINTS Against MATT HAWKINS of Centaurus Financial

Losses with James Martin of Berthel Fisher in Jacksonville, IL
Matt Hawkins, with Centaurus Financial, Subject of Dozens of Complaints for GWG Sales LEXINGTON, SOUTH CAROLINA Have you lost money investing with financial advisor Matt Hawkins from Lexington, South Carolina? Our securities arbitration law firm is looking into allegations made against Matthew Hawkins also known as Dana Matthew Hawkins, who has worked with Centaurus Financial …
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30
Jun

SEC Charges 5 Western International Securities Brokers Over GWG L Bonds

Losses with Louis Peter Goff of Wells Fargo in Salt Lake City, UT
CALIFORNIA Did you lose money investing in GWG L bonds through Western International Securities?  We are reviewing claims by the SEC against five brokers at Western International Securities.  The SEC filed a complaint against Western International, Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan, alleging that they violated Regulation BI (Best Interest) …
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