RAYMOND JAMES ADVISOR, SUBJECT OF OREGON COMPLAINT Have you lost money with financial advisor Gary Dodds from Bend, Oregon?  We are looking into allegations made by the Oregon Department of Financial Regulation against Dodds. Oregon alleged that he engaged in unsuitable and excessive trading in customer accounts, including in elderly customers’ accounts.  Oregon also alleged …
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Alec Franks, formerly with First Standard Financial, Barred by FINRA Have you lost money with financial advisor Alec Franks?  We are looking into allegations made about Alec C. Franks from Red Bank, New Jersey.  FINRA (the Financial Industry Regulatory Authority) barred Franks from the securities industry.  FINRA alleged that Franks has failed to respond to …
Read More "Warning: ALEC FRANKS of First Standard is BARRED – Red Bank, NJ"

Tony Kassaei, formerly with J.P. Turner, Barred by FINRA Have you lost money with financial advisor Tony Kassaei, J.P. Turner, or Centaurus Financial?  We are looking into allegations made about Tony A. Kassaei from Irvine, California.  FINRA (the Financial Industry Regulatory Authority) barred Kassaei from the securities industry.  FINRA alleged that Kassaei sold $2.6 million …
Read More "TONY KASSAEI of J.P. Turner PONZI SCHEME – Irvine, CA"

Morgan Wilshire Securities Settles with SEC Over ETF Sales Have you lost money investing in ETFs through Morgan Wilshire Securities?  We are currently investigating allegations made against Morgan Wilshire Securities, a Garden City, New York-based securities brokerage firm.  The Securities and Exchange Commission (SEC) alleged that from January 2015 to March 2019, Morgan Wilshire failed …
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Capital City Securities Ordered to Pay for Failing to Supervise Clint Keener Have you lost money with financial advisor Clint Keener from Powell, Ohio?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Clint Keener.  FINRA recently ordered Keener’s former brokerage firm, Capital City Securities, to pay over …
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Christ Baltas, formerly with Worden Capital Management, Barred by FINRA Have you lost money with financial advisor Christ Elias Baltas?  We are looking into allegations made about Christ Baltas from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Baltas from the securities industry.  FINRA alleged that Baltas has failed to respond to its …
Read More "WARNING! Christ Baltas of Worden Capital is Now BARRED – Melville, NY"

Israels & Neuman, PLC Investigates Ronald Birnbaum of Advisory Group Equity Services Have you lost money with financial advisor Ronald D. Birnbaum (CRD# 2382580) of Advisory Group Equity Services in Newton, Massachusetts?  We are investigating allegations of former customers related to Ronald Birnbaum. Ronald Birnbaum’s CRD report, a public record maintained by FINRA, states that …
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Harry Rosenberg, previously with Voya Financial Advisors, Suspended Two Months by FINRA Have you lost money with financial advisor Harry Rosenberg?  We are looking into allegations made about Harry Rosenberg from Woodcliff Lake, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Rosenberg from the securities industry for two months and fined him $8,000.  FINRA …
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Roger Duval, formerly with MetLife Securities, Barred by FINRA Have you lost money with financial advisor Roger Duval of Spokane, Washington?  We are continuing to look into allegations made against Roger Duval.  FINRA (the Financial Industry Regulatory Authority) barred Duval from the securities industry regarding allegations that he stole or converted $130,000 from customers’ accounts. …
Read More "UPDATE! Financial Advisor ROGER DUVAL is Now Barred – Spokane, WA"