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

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23

Jun

CARLOS HURTADO Accused of Engaging in Private Securities Sales

Losses with Michael Valenta of Cambridge Investment Research in Westminster, CO

Carlos Hurtado, formerly with Spartan Capital Securities, Barred by FINRA NEW YORK, NY – Have you lost money with financial advisor Carlos A. Hurtado. of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Carlos Hurtado. FINRA barred Hurtado after he failed to respond to an investigation. …
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23

Jun

ELIAS HAKIMAN of LPL Involved in Churning Customer Accounts

Losses with James Williams of Newbridge Securities in Boca Raton, FL

Israels & Neuman, PLC Investigates Elias Hakiman, Formerly of LPL Financial SEAL BEACH, CALIFORNIA – Have you lost money with financial advisor Elias Hakiman, formerly of LPL Financial in Seal Beach, California? We are looking into allegations made against Elias Hakiman. Elias Hakiman has been the subject of a customer complaint, alleging that he engaged …
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22

Jun

KEVIN McCALLUM of LPL Ordered to Pay $1.2 Million for Losses in BDC’s

Losses with John Christoforidis of Spartan Capital in Garden City, NY

Financial Advisor Accused of Concentrating Investments in Business Development Companies BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in …
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22

Jun

Investigation of SCOTT NIEKAMP of Northwestern Mutual

losses with Arkady Ginsburg of Aegis Capital in New York, NY

Israels & Neuman, PLC Investigates Scott Niekamp, of Northwestern Mutual CHESTERFIELD, MISSOURI – Have you lost money with financial advisor Scott Niekamp, of Northwestern Mutual in Chesterfield, Missouri? We are looking into allegations made against Scott Niekamp, who has been the subject of four (4) customer complaints, all made since 2018. Some of the …
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21

Jun

Investigation of DAVID KHEZRI of Worden Capital / Joseph Stone Capital

Losses with Schad Brannon of United Capital and Debt Box in Los Angeles, CA

Israels & Neuman, PLC Investigates Allegations Against Financial Advisor, David Khezri HOLBROOK, NEW YORK – Have you lost money with financial advisor David Khezri, formerly of Joseph Stone Capital and Worden Capital Management in Holbrook, New York? We are looking into allegations made against David Khezri, who has been the subject of three (3) customer …
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21

Jun

Fraud Alert: TYLER RIGSBEE Accused of Stealing Money From Customer

Tyler Rigsbee of Wells Fargo in Sacramento, CAAccused of fraud

Israels & Neuman, PLC Investigates Financial Advisor, Tyler Rigsbee SACRAMENTO, CALIFORNIA – Have you lost money with financial advisor Tyler Rigsbee, formerly of Wells Fargo in Sacramento, California? We are looking into allegations made against Tyler Rigsbee, who was fired by Wells Fargo in 2021. It was alleged that Rigsbee received client funds in his …
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21

Jun

Investigation of Financial Advisor KEVIN KLICKNA

Losses with Dusty Sternadel of Ameriprise Financial in Wichita Falls, TX

Israels & Neuman, PLC Investigates Kevin Klickna, Formerly of Equitable Advisors and AXA Advisors SPRINGFIELD, ILLINOIS – Have you lost money with financial advisor Kevin Klickna, formerly of Equitable Advisors and AXA Advisors in Springfield, Illinois? We are looking into allegations made against Kevin Klickna, who has been the subject of three (3) customer complaints, …
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21

Jun

Allegations Against PETER TESTANI of Unsuitable Investments

Losses with Kyle Baker of First Trust Portfolios in Wheaton, IL

Israels & Neuman, PLC Investigates Peter Testani, of David Lerner Associates SYOSSET, NEW YORK – Have you lost money with financial advisor Peter Testani, of David Lerner Associates in Syosset, New York? We are looking into allegations made against Peter Testani, who has been the subject of a customer complaint that was filed in 2021. …
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20

Jun

MICHAEL GIOVANNELLI Involved in Fraud Allegations

Losses with Rajesh Markan of Merrill Lynch in Dallas, TX

Michael Giovannelli, with Spartan Capital Securities, Subject of FINRA Complaint NEW YORK, NY – Have you lost money with financial advisor Michael J. Giovannelli of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Giovannelli. FINRA alleged that Giovannelli made 12 unauthorized transactions in a senior …
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20

Jun

JAMES NOAK Involved in Selling Unsuitable REIT’s

Losses with Steven Schroeder of Principal Securities in Hudson, WI

Israels & Neuman, PLC Investigates James Noack, Formerly of Madison Avenue Securities and Commonwealth Financial Network SAN RAMON, CALIFORNIA – Have you lost money with financial advisor James W. Noack, formerly of Madison Avenue Securities and Commonwealth Financial Network in San Ramon, California? We are looking into allegations made against James or Jim Noack, who …
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CARLOS HURTADO Accused of Engaging in Private Securities Sales

SEARCH OUR BLOGS

23

CARLOS HURTADO Accused of Engaging in Private Securities Sales

23

ELIAS HAKIMAN of LPL Involved in Churning Customer Accounts

22

KEVIN McCALLUM of LPL Ordered to Pay $1.2 Million for Losses in BDC’s

22

Investigation of SCOTT NIEKAMP of Northwestern Mutual

21

Investigation of DAVID KHEZRI of Worden Capital / Joseph Stone Capital

21

Fraud Alert: TYLER RIGSBEE Accused of Stealing Money From Customer

21

Investigation of Financial Advisor KEVIN KLICKNA

21

Allegations Against PETER TESTANI of Unsuitable Investments

20

MICHAEL GIOVANNELLI Involved in Fraud Allegations

20

JAMES NOAK Involved in Selling Unsuitable REIT’s