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

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11

Jun

COMPLAINTS Against DAVID GEAKE of Madison Ave Securities & Ausdal

Losses with Kostas Tsamos of Spartan Capital in Garden City, NY

NORTHBROOK, ILLINOIS — Israels & Neuman, PLC Investigates David Geake, Formerly of Madison Avenue Securities and Ausdal Financial Have you lost money with financial advisor David R. Geake, formerly of Madison Avenue Securities and Ausdal Financial, and now with American Trust Investment Services in Northbrook, Illinois? We are looking into allegations made against David Geake, …
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10

Jun

PAUL McGONIGLE of LPL Financial Facing Criminal Charges

Losses with Debra Mae Carter of KMS Financial in Weatherford, TX

MIDDLEBORO, MASSACHUSETTS — Have you lost money with financial advisor Paul McGonigle of LPL Financial or SII Investments? We are looking into allegations made about Paul R. McGonigle from Middleboro, Massachusetts. In 2020, FINRA (the Financial Industry Regulatory Authority) barred McGonigle from the securities industry. In June 2021, McGonigle is also being charged criminally …
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9

Jun

Investigation of KEITH ASHLEY and Parkland Securities

Losses with Keith Ashley of Parkland Securities in Carrollton, TX

CARROLLTON, TEXAS Have you lost money with financial advisor Keith T. Ashley, of Parkland Securities, in Carrollton, Texas? We are continuing to look allegations of former customers related to Keith Ashley. In 2020, Keith Ashley was arrested for allegedly murdering one of his clients. Ashley has also been charged with running a $1.3 million …
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9

Jun

THOMAS CLEARY of UBS Financial is SUSPENDED

Losses with Thomas Cleary of UBS Financial Services in Washington DC

WASHINGTON DC Have you lost money with financial advisor Thomas C. Cleary from Washington DC? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Thomas Cleary. Cleary was being investigated regarding allegations that he was named a beneficiary of a customer’s estate but took steps to hide that from his …
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7

Jun

MARIO RIVERO of Wells Fargo / LPL Financial is BARRED

Losses with Kevin Carroll of LPL Financial in Glastonbury, CT

ELIZABETH, NEW JERSEY Have you lost money with financial advisor Mario Rivero Jr. of Elizabeth, New Jersey? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mario Rivero. FINRA barred Rivero after he failed to respond to an investigation. Rivero was being investigated after two customers made allegations against him, which …
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7

Jun

WARNING! Cynthia Komarek and Grant Birkley of SagePoint BARRED

Losses with Rosaline Alam of Pruco Securities in Claremont, CA

BARRINGTON, ILLINOIS Have you lost money with financial advisors Cynthia Komarek and Grant Birkley of Barrington, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Cynthia Komarek and Grant Birkley. FINRA barred both Komarek and Birkley after they failed to respond to an investigation. Komarek and Birkley were being investigated …
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7

Jun

RICARDO TURLAN of UBS Financial is SUSPENDED

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY

SAN ANTONIO, TX Have you lost money with financial advisor Ricardo P. Turlan from San Antonio, Texas? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Ricardo Turlan. Turlan was being investigated regarding allegations that he executed trades in customer accounts without speaking to clients on the days of the …
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4

Jun

Warning: NICHOLAS PALUMBO of Armonk, NY is BARRED

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

Nicholas Palumbo, of Park Avenue Securities, Barred by FINRA – ARMONK, NEW YORK Have you lost money with financial advisor Nicholas R. Palumbo of Armonk, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicholas Palumbo. FINRA barred Palumbo after he failed to respond to an investigation. Palumbo was being …
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3

Jun

Criminal Fraud Charges Against JONATHAN FREEZE of LPL

FREDERICKSBURG, VIRGINIA Have you lost money with financial advisor Jonathan Freeze of Fredericksburg, Virginia? We are continuing to look into allegations made against Jonathan D. Freeze. In 2017, FINRA, the Financial Industry Regulatory Authority barred Freeze from the securities industry after he failed to respond to a FINRA investigation. In 2021, the Securities and Exchange …
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3

Jun

DAVID ROCKWELL of Cetera Advisors Sentenced to PRISON

Losses with Joe David Gainer of Wells Fargo in Marianna, FL

David Rockwell Ordered to Pay Over $1 Million to Customers BOCA RATON, FLORIDA Have you lost money with financial advisor David A. Rockwell of Cape Coral, Florida? We are looking into allegations made against David Rockwell, formerly known as David Boggess. The U.S. Attorney’s Office for the Middle District of Florida announced that Rockwell was …
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COMPLAINTS Against DAVID GEAKE of Madison Ave Securities & Ausdal

SEARCH OUR BLOGS

11

COMPLAINTS Against DAVID GEAKE of Madison Ave Securities & Ausdal

10

PAUL McGONIGLE of LPL Financial Facing Criminal Charges

9

Investigation of KEITH ASHLEY and Parkland Securities

9

THOMAS CLEARY of UBS Financial is SUSPENDED

7

MARIO RIVERO of Wells Fargo / LPL Financial is BARRED

7

WARNING! Cynthia Komarek and Grant Birkley of SagePoint BARRED

7

RICARDO TURLAN of UBS Financial is SUSPENDED

4

Warning: NICHOLAS PALUMBO of Armonk, NY is BARRED

3

Criminal Fraud Charges Against JONATHAN FREEZE of LPL

3

DAVID ROCKWELL of Cetera Advisors Sentenced to PRISON