Over $100 Million of Investors' Losses Recovered

Securities Law Attorneys Blog

Neil Konigsberg: Pending Complaint Against UBS Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending…

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Neil Mehta: Investor Seeks $110,406 in Complaint Against Merrill Lynch, Ex-JP Morgan Rep

March 18, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Florida-based Merrill Lynch broker/adviser Neil Mehta, who has received a pending customer…

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Hayato Tamura: Investor Seeks $213,332 in Complaint Against JP Morgan Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based JP Morgan Securities broker/adviser Hayato Tamura has received a pending…

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Lawrence Greenfield: Suitability Complaint Against LPL, Ex-Arete Rep

March 18, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based LPL Financial broker/adviser Lawrence Greenfield has received a pending customer…

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Amos Katz: Insurance Complaint Against Morgan Stanley Rep

March 18, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Louisiana-based Morgan Stanley broker/adviser Amos Katz has received resolved or pending customer…

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Steven Kaneski: Investors Seek $1,000,000 in Annuity Complaint Against Ex-NYLife Rep

March 18, 2019
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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former California-based NYLife Securities broker/adviser Steven Kaneski has received resolved or pending…

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Ronald Wall: $823,000 Complaint Against JP Morgan Rep

March 18, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based JP Morgan Securities broker/adviser Ronald Wall has received a pending…

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Louise Short: $99,000 Complaint Against Ex-First Allied Rep

March 18, 2019
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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former Oklahoma-based First Allied Securities broker/adviser Louise Short, who is currently…

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Rodger Sprouse: $210,000 Selling Away Complaint Against Titan Securities Rep

March 15, 2019
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Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Kansas-based Titan Securities broker/adviser Rodger Sprouse has received resolved or pending customer…

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Careena Patel: $117,000 Pending CD Complaint Against BBVA Rep

March 15, 2019
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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Texas-based BBVA Securities broker/adviser Careena Patel has received resolved or pending…

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