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28
Feb

Investigation of THOMAS DIAMANTE of SW Financial

Losses with James Martin of Berthel Fisher in Jacksonville, IL
 FINRA Investigates Thomas Diamante with SW Financial MELVILLE, NEW YORK Our securities arbitration law firm is looking into allegations made against Thomas Diamante, a financial advisor in Melville, New York. FINRA began investigating Diamante regarding allegations that he violated FINRA Rule 2010 and Sections 17(a)(2) and 17(a)(3) of the Securities and Exchange Act of 1933.  …
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28
Feb

COMPLAINTS Against DOUGLAS BUCZAK of Cambridge Investment

Losses with Justin Deiter of Spartan Capital Aegis Capital and Allied Millennial in Melville, NY
Advisor Douglas Buczak, Formerly with Cambridge Investment Research, Subject of Customer Complaint BIRMINGHAM, MICHIGAN Have you lost money investing in private placements and real estate investments with advisor Douglas Buczak?  The investment fraud law firm of Israels & Neuman is looking into a customer arbitration claim made against Douglas Buczak, a financial advisor who previously …
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18
Feb

WADE THOMASON of OFG Financial is BARRED

Losses with Billy Stanage of Commonwealth Financial in Rio Rancho, NM
Wade Thomason, Formerly of OFG Financial Services, Barred from Securities Industry OVERLAND PARK, KANSAS Carl Wade Thomason was a financial advisor previously associated with OFG Financial Services.  In January 2022, FINRA barred Wade Thomason from the securities industry.  Thomason was alleged to have received loans from customers of his former firm, OFG Financial Services.  Kelly …
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16
Feb

Investigation of CHAD BARANCYK of First Allied Securities

Losses with Kostas Tsamos of Spartan Capital in Garden City, NY
Investment Fraud Law Firm of Israels & Neuman Looks Into Customer Complaints Against Chad Barancyk, Formerly of First Allied Securities NAPLES, FLORIDA Have you lost money with advisor Chad Barancyk, formerly of First Allied Securities in Naples, Florida?  Our securities arbitration law firm is looking into allegations against Chad Barancyk, who has been the subject …
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16
Feb

FIRASAT SIDDIQUI of Ameriprise Financial Terminated

Losses with Justin Maher of Northwestern Mutual in New Haven, CT
 Former Ameriprise Financial Services Advisor Firasat Siddiqui Discharged CHICAGO, ILLINOIS Firasat Siddiqui was a registered representative and financial advisor of Ameriprise Financial Services from 1991 to January 2022.  In January 2022, Siddiqui was discharged by Ameriprise.  Ameriprise filed a notice with FINRA’s Brokercheck, stating that Siddiqui was discharged for company policy violations related to exchange …
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16
Feb

DARIEN BONNEY of MML Investors in Scottsdale AZ is FIRED

Losses with John Kasel of US Bancorp in Seattle, WA
 Darien Bonney, Formerly with MML Investors Services, Terminated After Allegations of Undisclosed Outside Business Activities SCOTTSDALE, ARIZONA The securities and investment fraud Law Firm of Israels & Neuman is investigating allegations made against financial advisor Darien Bonney, formerly with MML Investors Services.  Bonney, who worked at a Scottsdale, Arizona branch office, was discharged by MML …
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16
Feb

DAVID CAMPANELLA of US Bancorp BARRED by FINRA

Losses with Joe David Gainer of Wells Fargo in Marianna, FL
 FINRA Bars David Campanella, Formerly with U.S. Bancorp Investments, After Providing Inaccurate and Incomplete Responses to Investigation CLEVELAND, OHIO Have you lost money investing with financial advisor David Campanella?  FINRA (the Financial Industry Regulatory Authority) barred David Campanella from the securities industry.  FINRA had initiated its investigation after there were allegations that Campanella had undisclosed …
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16
Feb

Complaints Against JAMES JONES of Center Street Securities

Losses with Archie Blood of Cambridge Investment Research in Grand Rapids, MI
 JASPER, INDIANA The Law Firm of Israels & Neuman is looking into allegations made against financial advisor James Jones from Jasper, Indiana.  James Jones, who has been affiliated with Center Street Securities, was the subject of a customer complaint, who alleges unsuitable investments in “alternative” investments.  The alternative investments were allegedly illiquid, high risk, and …
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15
Feb

ROBERT SPENCER of Cetera EXPELLED from Securities Industry

Losses with Patty Dawson of Stifel Nicolaus in Ann Arbor, MI
Former Cetera Advisor Robert Spencer Expelled From Securities Industry CHEEKTOWAGA, NEW YORK The Law Firm of Israels & Neuman is looking into allegations made against Robert Spencer, from Cheektowaga, New York.  Robert Spencer was under investigation by FINRA, which regulates the securities brokerage industry.  Spencer was alleged to have engaged in private securities transactions, which …
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14
Feb

Former Basketball Player MARK PAYNE Accused of $15.5 Million Investment Losses

Losses with Andrew Schell of DA Davidson in Colorado Springs, CO
ROSEVILLE, CALIFORNIA Have you lost money investing with current financial advisor and former basketball player Mark Payne in Roseville, California?  Mark Payne, currently associated with Morgan Stanley, is the subject of a $15 million customer complaint filed with FINRA arbitration.  The customer alleged that Payne managed a customer account, and that he made unsuitable recommendations …
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