SEARCH OUR BLOGS
28
Apr

COMPLAINTS Against MATTHEW MCDONALD of Sigma Financial

Losses with Brian Scott Graham of Cetera Advisor Networks in Plainfield, IL
Customer Complaint Pending Against Sigma Financial Corp. Involving Matthew McDonald WALLED LAKE, MICHIGAN Were you a former investor of financial advisor Matthew McDonald? The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against current Sigma Financial Corp. advisor Matthew McDonald, in Walled Lake, Michigan.  According to FINRA, McDonald …
Read More "COMPLAINTS Against MATTHEW MCDONALD of Sigma Financial"
28
Apr

Warning: Advisor JANIE GARZA-CLARK is BARRED

Losses with Courtney Smith of Spire Securities in Bethesda, MD
Janie Garza-Clark, formerly with Hornor, Townsend & Kent, Barred by FINRA SCOTTSDALE, ARIZONA Have you lost money with financial advisor Janie Garza-Clark of Scottsdale, Arizona?  The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Janie Garza-Clark.  FINRA recently barred Garza-Clark from the securities …
Read More "Warning: Advisor JANIE GARZA-CLARK is BARRED"
28
Apr

Warning! ANN WERTS aka ANN VANDERSLICE Involved in GWG Sales

Losses with Dasha Glo of Wells Fargo in Newport Beach, CA
 Financial Advisor Ann Werts, Formerly with Cabot Lodge Securities, and GWG Bonds DENVER, COLORADO The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Ann Werts, formerly named Ann Vanderslice, of Denver, Colorado. Werts has been the subject of a recent customer complaint regarding GWG Bond investments, …
Read More "Warning! ANN WERTS aka ANN VANDERSLICE Involved in GWG Sales"
25
Apr

PHILIP MARCHESE of Spartan Capital is SUSPENDED

Losses with Michael Solomon of Maxim Group in New York City, NY
Philip Marchese, Formerly with Spartan Capital Securities, Suspended 12 Months from Securities Industry NEW YORK, NY The investment fraud and securities arbitration law firm of Israels & Neuman is looking into a regulatory complaint made by FINRA, the Financial Industry Regulatory Authority, against Philip Marchese.  In 2022, FINRA brought a regulatory action against Marchese and …
Read More "PHILIP MARCHESE of Spartan Capital is SUSPENDED"
25
Apr

WARNING! Investigation of JAMES PECORARO of Spartan Capital

Losses with Roy Kevin Williams of Stifel Nicolaus in Indianapolis, IN
James Pecoraro, with Spartan Capital Securities, Subject of FINRA Investigation MELVILLE, NEW YORK Have you invested and lost money with James Pecoraro, a financial advisor who previously worked with SW Financial and is now with Spartan Capital Securities?  According to FINRA, James Pecoraro is under investigation for excessively trading or churning customers’ accounts.  He is …
Read More "WARNING! Investigation of JAMES PECORARO of Spartan Capital"
22
Apr

Investigation of MARK WILLIAMS of Centaurus Financial – Carmel, CA

Losses with Michael Young of Classic Asset Management in Fargo, ND
 Israels & Neuman, PLC Investigates Mark Williams, Formerly with Centaurus Financial, Regarding GWG Bonds CARMEL, CALIFORNIA Are you a current or former client of financial advisor Mark Williams, formerly with Centaurus Financial in Carmel, California?  We are looking into allegations made against Mark Williams, who has been the subject of two customer complaints, one of …
Read More "Investigation of MARK WILLIAMS of Centaurus Financial – Carmel, CA"
20
Apr

Complaints Against DIMITRY TIKHONOV and Investments in GPB Auto.

Losses in GPB with Dinitry Tikhonov of Madison Avenue Securities in Torrance, CA
Dimitry Tikhonov, with Madison Avenue Securities, Subject of Customer Complaint Involving GPB Automotive TORRANCE, CALIFORNIA Are you a former client of financial advisor Dimitry Tikhonov, with Madison Avenue Securities in Torrance, California?  The securities and investment fraud firm of Israels & Neuman is reviewing allegations made by a former customer of Dimitry Tikhonov.  The customer …
Read More "Complaints Against DIMITRY TIKHONOV and Investments in GPB Auto."
20
Apr

WARNING! Investigation of MAXIM TULUPNIKOFF of David Lerner Assoc.

Losses with John Kasel of US Bancorp in Seattle, WA
Maxim Tulupnikoff, with David Lerner Associates, Under Investigation by FINRA WESTPORT, CONNECTICUT Are you a former or current client of Maxim Tulupnikoff?  The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing allegations made by FINRA (the Financial Industry Regulatory Authority) against Maxim Tulupnikoff, who worked in Westport, Connecticut.  Tulupnikoff is …
Read More "WARNING! Investigation of MAXIM TULUPNIKOFF of David Lerner Assoc."