Last updated March 30, 2023
Former Independent Financial Group Stockbroker and Investment Adviser John P. Mendes Barred From the Securities Industry for Insider Trading ViolationsJohn P. Mendes (CRD #5409060) was a previously registered FINRA broker and investment adviser associated with Independent Financial Group. On...
Last updated March 20, 2023
Former Morgan Stanley Investment Advisor Allen Israel Hershberg Charged with Soliciting Unapproved InvestmentsAllen Israel Hershberg (CRD#: 1112312), of Beverly Hills, California, was “permitted to resign” from Morgan Stanley Smith Barney, LLC’s Beverly Hills office in July 2022 due to...
Last updated March 30, 2023
Former Southport Capital Founder and Former Oppenheimer & Co. Financial Advisor John Justin Woods Charged in $100 Million Horizon Private Equity Ponzi Scheme John Justin Woods...
Last updated March 30, 2023
Cetera Investment Services LLC Stockbroker Leo Chen Charged with Unsuitable Investment RecommendationsLeo Li-Yuan Chen (CRD#: 4169619) is a stockbroker and FINRA-registered investment advisor associated with Cetera Investment Services since 2012. Chen, currently working out of Cetera’s San Gabriel, CA...
Last updated March 30, 2023
Former Morgan Stanley and Wells Fargo Investment Advisor Shawn Good Pleads Guilty to Defrauding Customers of $7 MillionShawn Edward Good (CRD#: 2022168), formerly with Morgan Stanley, pleaded guilty on September 15, 2022 to defrauding clients of more than $7...
Last Updated March 30, 2023
Oppenheimer & Co. Inc. Investment Advisor Gregory Baines Iglow Charged with Claims of Unsuitability, Fraud, Breach of Contract, and Other MisconductGregory Baines Iglow (CRD # 2783963) is a FINRA-registered broker and investment advisor with Oppenheimer & Co. Inc. and was formally employed by RBC Dain Rauscher Inc.,...
Lawrence Ira Goldstein (CRD # 3223787) is a FINRA-registered broker and investment advisor with Cetera Advisor Networks in Los Angeles and was formally...
Los Angeles, CA (Law Firm Newswire) March 04, 2022 – Reif Law Group, P.C. (RLG), California’s preeminent boutique trial and litigation law firm for securities and business disputes, is pleased to announce the promotion of Rachel D. Dardashti to partner.
Los Angeles, CA (Law Firm Newswire) March 02, 2022 – Reif Law Group, P.C., California’s preeminent boutique trial and litigation law firm for securities and business disputes, today filed petitions to confirm two JAMS arbitration awards totaling $12,114,017.87 for two elderly...
Los Angeles, CA (Law Firm Newswire) March 01, 2022 – Reif Law Group, P.C., California’s preeminent boutique trial and litigation law firm for securities and business disputes, today announced a ruling against American General Life Insurance Company and California insurance agent...
February 5, 2020 (LOS ANGELES) – Reif Law Group, P.C. California’s preeminent boutique trial and litigation law firm for securities and business disputes, announced that Daniel S. Rubin has joined as a Senior Associate.
"Daniel’s high-stakes litigation and trial experience fit perfectly with our practice,"...
“Determination is the wake-up call to the human will.”
Three years ago, I made the decision to tender my resignation from a promising and safe career at a respectable insurance defense firm. My vision was to launch Reif Law Group, P.C., a securities and business...
