Stockbroker Marshall Owen Isaacson Named in Four Customer Complaints Since 2019 The Financial Industry Regulatory Authority (FINRA) recently barred Marshall Owen Isaacson, an ex- Newbridge Securities stockbroker based out of Boca Raton, Florida. Isaacson is accused by customers of making unsuitable investment recommendations and committing broker negligence. With 35 years…
FINRA Suspends Waco, Texas Broker For 18 Months Two investors have filed Financial Industry Regulatory Authority (FINRA) arbitration complaints against Michael Allen Kamperman, who was most recently a former HD Vest Investment Services registered representative. Both customers are accusing him of making unsuitable and excessive trades on their behalf. Kamperman,…
Texas Brothers Sue Financial Services Company for $1.5M After turning down a settlement that would have reimbursed them 60 cents for every dollar, brothers Jim and Ken Karger are suing Monex Grupo Financiero for the $1.5M they lost in an alleged decades-long Ponzi scam. This alleged scam not only defrauded…
Following Bankruptcy Proceedings, Bondholders Turn to FINRA Arbitration Now that Frontier Communications Corp. has filed for bankruptcy protection, investors who bought the company’s bonds may be grappling with how to recover their losses. At Shepherd Smith Edwards and Kantas (SSEK Law Firm), our bond fraud lawyers are here to tell…
Franklin Square Energy and Power Fund’s Board Suspends Repurchase Program If you are someone who invested in Franklin Square Energy and Power Fund (FSEP), you have likely experienced losses. The non-traded business development company’s (BDC) board recently announced that it was suspending its repurchase program and its share price has…
Investment Advisor Allegedly Defrauded Senior Investors to Fund Lavish Lifestyle The US Securities and Exchange Commission (SEC) has filed charges against Mark Joseph Boucher, a California-based investment adviser, and his firm, Strategic Wealth Advisor Group Services. Boucher and Strategic Wealth Advisor Group are accused of stealing $2.2M from older customers,…
Barish Earned Over $400K in Commissions from Excessive Trading Strategy The US Securities and Exchange Commission (SEC) has filed civil charges against Ross Adam Barish, a Joseph Stone Capital registered representative. The regulator contends that Barish engaged in an unsuitable in-and-out trading strategy in customers’ accounts without doing the necessary…
The Latest Customer Claim Accuses Investment Advisor of Excessive Trading Once again, an investor is blaming former Morgan Stanley stockbroker, Michael Frank Paesano, for their investment losses. These latest allegations involve excessive trading. Although Paesano is no longer a registered broker, he is still a registered investment advisor and he…
Pending Customer Complaints Seek $250K and $1M, Respectively If you or someone you love lost money while working with stockbroker Walter Roland Valenzuela, our investor attorneys want to speak with you. Valenzuela, who became a Kestra Investment Services broker this year, has been the subject of 10 customer complaints during…
Legal Recourse for Denver, Colorado Investors Who’ve Suffered Contract Violations If you are an investor whose broker or brokerage firm breached your agreement, causing you financial losses, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim for damages. At Shepherd Smith Edwards and Kantas (SSEK…