Israels & Neuman, PLC Investigates Joseph Hain, Formerly of Paulson Investment Company Have you lost money with financial advisor Joseph M. Hain (CRD# 4959092), of Paulson Investment Company, in New York, New York?  We are investigating allegations of former customers related to Joseph Hain. Hain’s BrokerCheck report, a public record maintained by FINRA, states that …
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Israels & Neuman, PLC Investigates William Torriente, Formerly of Comerica Securities Have you lost money with financial advisor William Torriente Jr. also known as Eddy Torriente (CRD# 4255814), of Comerica Securities, in Phoenix, Arizona?  We are investigating allegations of former customers related to Eddy Torriente / William Torriente. William Torriente’s BrokerCheck report, a public record …
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Israels & Neuman, PLC Investigates Thomas Bonik, Formerly of NTB Financial Have you lost money with financial advisor Thomas Michael Bonik (CRD# 852722), formerly of NTB Financial, in St. Augustine, Florida?  We are investigating allegations of former customers related to Thomas Bonik. Thomas Bonik’s BrokerCheck report, a public record maintained by FINRA, states that Bonik …
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Neal Scott, Formerly with Joseph Stone Capital, Suspended by FINRA We are looking into allegations made about Neal Scott from New York, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Scott from the securities industry for three months and fined him $5,000.  FINRA alleged that Scott failed to timely disclose several tax liens that …
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Christopher Hibbard, formerly with Merrill Lynch, Sentenced to Eight Years for Fraud Have you lost money with financial advisor Christopher Hibbard from Louisville, Kentucky?  We are continuing to look into allegations made against Christopher Lee Hibbard.  Hibbard was sentenced to eight years in prison for stealing money from numerous clients while he was a representative …
Read More "UPDATE! Christopher Hibbard Sentenced to 8 Years – Louisville, KY"

Cetera Financial Specialists and Cetera Advisors Settle with FINRA Regarding More Supervisory Failures We are currently investigating allegations made against Cetera Financial Specialists, LLC, a Schaumburg, Illinois-based securities brokerage firm and Cetera Advisors, based out of Denver, Colorado.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Cetera Financial Specialists, Cetera Advisors, and …
Read More "CETERA Settles for $1 Million Over Supervisory Failures"

Marisa Quintero, formerly with J.P. Morgan Securities, Barred by FINRA Have you lost money with financial advisor Marisa Quintero?  We are looking into allegations made about Marisa K. Quintero from Spring, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Marisa Quintero from the securities industry.  FINRA alleged that Marisa Quintero stole money from a customer …
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Jay Tomlinson, with R.F. Lafferty & Co., Suspended by FINRA Have you lost money with financial advisor Jay Tomlinson (CRD #: 2680269)?  We are looking into allegations made about Jay Clint Tomlinson from New York, New York.  FINRA (the Financial Industry Regulatory Authority) suspended him from the securities industry for three months and fined him …
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Stephen Sloane, formerly with Westpark Capital and Morgan Stanley, Barred by FINRA Have you lost money with financial advisor Stephen Sloane?  We are looking into allegations made about Sloane from New York, New York.  FINRA (the Financial Industry Regulatory Authority) has barred him from the securities industry.  FINRA alleged that Stephen Sloane recommended an unsuitable …
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Timothy Pandekakes, formerly with Cadaret Grant & Co., Suspended by FINRA Have you lost money with financial advisor Timothy Pandekakes?  We are looking into allegations made about Timothy Pandekakes from Bronxville, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Pandekakes from the securities industry for three months and ordered him to pay partial restitution …
Read More "Warning: TIMOTHY PANDEKAKES of Bronxville, NY is SUSPENDED"