(720) 599-3505

WARNING! Impending Investigation: CANTOR FITZGERALD & CO. and MICROCAP STOCKS

24
Dec

WARNING! Impending Investigation: CANTOR FITZGERALD & CO. and MICROCAP STOCKS

Posted by admin | 0 Comment
WARNING!  Impending Investigation:  CANTOR FITZGERALD & CO. and MICROCAP STOCKS

Cantor Fitzgerald & Co. and Microcap Stocks   We are currently investigating allegations made against Cantor Fitzgerald & Co., a New York City-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Cantor Fitzgerald, alleging that it failed to reasonably supervise the sales of microcap stocks, among several other allegations.  ...

24
Dec

UPDATE! Frederick E. Monroe Pleads GUILTY to Ponzi Scheme

Posted by admin | 0 Comment
UPDATE!  Frederick E. Monroe Pleads GUILTY to Ponzi Scheme

Albany Financial Advisor Frederick E. Monroe Pleads Guilty Running $1 Million Ponzi Scheme   Have you lost money with financial advisor Frederick E. Monroe from Albany, New York?  We are investigating allegations made by the NY Attorney General Eric T. Schneiderman against Fred Monroe.  According to the Times Union Capitol Confidential in June 2015, Monroe ...

22
Dec

DAVID P. NEUMAN ELECTED TO PIABA BOARD OF DIRECTORS

Posted by admin | 0 Comment
DAVID P. NEUMAN ELECTED TO PIABA BOARD OF DIRECTORS

Israels & Neuman, PLC is proud to announce that one of its managing partners, David P. Neuman, has been elected to the PIABA (Public Investors Arbitration Bar Association) Board of Directors.   Since its formation in 1990, PIABA has promoted the interests of the public investor in all securities and commodities arbitration forums, while also ...

17
Dec

Lincoln Financial Advisors Corp. FINED for Failing to Supervise Financial Advisor

Posted by admin | 0 Comment
Lincoln Financial Advisors Corp. FINED for Failing to Supervise Financial Advisor

Lincoln Financial Advisors Corporation Fined for Failing to Adequately Supervise Paul A. Thomas   We are currently investigating allegations made against Lincoln Financial Advisors Corporation, a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) filed a regulatory complaint against Lincoln Financial Advisors, alleging that it failed to adequately supervise the activities ...

17
Dec

WARNING! Impending Investigation: SAMUEL SLOANE and MORGAN STANLEY

Posted by admin | 0 Comment
WARNING!  Impending Investigation:  SAMUEL SLOANE and MORGAN STANLEY

Samuel Sloane and Morgan Stanley   Have you lost money with financial advisor Samuel W. Sloane of Fort Worth, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Samuel Sloane. FINRA barred Sloane from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Sloane ...

17
Dec

WARNING! Impending Investigation: RICK ESPARZA and PRINCOR FINANCIAL SERVICES CORP.

Posted by admin | 0 Comment
WARNING!  Impending Investigation:  RICK ESPARZA and PRINCOR FINANCIAL SERVICES CORP.

Rick Esparza and Princor Financial Services Corp.   Have you lost money with financial advisor Rick Esparza of Rancho Murieta, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rick Esparza. FINRA barred Esparza from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

15
Dec

WARNING! Impending Investigation: PAUL GARNETT and EDWARD JONES

Posted by admin | 0 Comment
WARNING!  Impending Investigation:  PAUL GARNETT and EDWARD JONES

Paul Garnett and Edward Jones   Have you lost money with financial advisor Paul D. Garnett of Beatrice, Nebraska?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Garnett. FINRA suspended Garnett from the securities industry for one year for selling investments in a helicopter medical evacuation company (Medevac) that ...

15
Dec

WARNING! Impending Investigation: MOLONEY SECURITIES CO. and ROBERT THEMM

Posted by admin | 0 Comment
WARNING!  Impending Investigation:  MOLONEY SECURITIES CO. and ROBERT THEMM

Moloney Securities Co. and Robert Themm   We are currently investigating allegations made against Moloney Securities Co., Inc., a Manchester, Missouri-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Moloney Securities Co., making allegations that Moloney failed to adequately supervise one of their brokers, Robert Themm.   Robert Themm ...

12
Dec

WARNING! Impending Investigation: COMPREHENSIVE ASSET MANAGEMENT & SERVICING, INC.

Posted by admin | 0 Comment

Comprehensive Asset Management & Servicing, Inc.   FINRA recently brought a regulatory action against a Parsippany, New Jersey-based brokerage firm named Comprehensive Asset Management and Servicing, Inc. (“CAMS”).  FINRA alleged that CAMS failed to adequately supervise a number of aspects of its firm, including a) consolidated reports; b) emails; c) private securities transactions; and d) ...

04
Dec

Israels & Neuman, PLC Investigates Summit Brokerage Services, Inc. and ETFs

Posted by admin | 0 Comment
Israels & Neuman, PLC Investigates Summit Brokerage Services, Inc. and ETFs

Summit Brokerage Services, Inc. and ETFs   Israels & Neuman, PLC is currently investigating allegations made against Summit Brokerage Services, Inc., a Boca Raton, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Summit Brokerage Services, making numerous allegations regarding its conduct, including its failure to supervise the sale ...

Copyright © 2018 Israels Neuman, PLC. All Rights Reserved

Developed By TRIGUNS