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WARNING! Impending Investigation: WORLD EQUITY GROUP and EXCESSIVE TRADING

29
Apr

WARNING! Impending Investigation: WORLD EQUITY GROUP and EXCESSIVE TRADING

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WARNING!  Impending Investigation:  WORLD EQUITY GROUP and EXCESSIVE TRADING

World Equity Group, and Excessive Trading   We are currently investigating allegations made against World Equity Group, an Arlington Heights, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against World Equity Group, making allegations that it failed to establish and maintain an adequate supervisory system regarding unsuitable excessive trading, ...

27
Apr

WARNING! Impending Investigation: BRENT BURGESSER and WELLS FARGO ADVISORS

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WARNING!  Impending Investigation:  BRENT BURGESSER and WELLS FARGO ADVISORS

Brent Burgesser and Wells Fargo Advisors   Have you lost money with financial advisor Brent Burgesser of Chandler, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brent W. Burgesser. FINRA alleged that from 2009 to 2012, Burgesser made unsuitable trading of Class “A” share mutual funds.  The front end ...

26
Apr

WARNING! Impending Investigation: JOHN MCKINSTRY and MOLONEY SECURITIES CO.

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WARNING!  Impending Investigation:  JOHN MCKINSTRY and MOLONEY SECURITIES CO.

John McKinstry and Moloney Securities Co., Inc.   Have you lost money with financial advisor John McKinstry of St. Louis, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John R. McKinstry, Jr. FINRA barred McKinstry from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

26
Apr

WARNING! Impending Investigation: MALCOLM SEGAL

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WARNING!  Impending Investigation:  MALCOLM SEGAL

Malcolm Segal Barred From Securities Industry   Have you lost money with financial advisor Malcolm Segal of Langhorne, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Malcolm Segal.  According to a complaint filed by the SEC against Segal in the Eastern District of Pennsylvania, Segal ran a Ponzi scheme ...

25
Apr

WARNING! PTX SECURITIES INVESTIGATION

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WARNING!  PTX SECURITIES INVESTIGATION

Investigation of PTX Securities   FINRA recently brought a regulatory action against a Plano, Texas-based brokerage firm named PTX Securities (“PTX”).  FINRA alleged that it failed to conduct adequate due diligence on oil and gas investments between October 2013 and January 2014.  PTX was previously known as Balanced Financial Securities.   FINRA alleged that PTX ...

24
Apr

WARNING! Impending Investigation: FRANK J. CAPUANO and ROYAL ALLIANCE ASSOCIATES, INC.

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WARNING!  Impending Investigation:  FRANK J. CAPUANO and ROYAL ALLIANCE ASSOCIATES, INC.

Frank J. Capuano and Royal Alliance Associates, Inc.   Have you lost money with financial advisor Frank Capuano of Holyoke, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frank J. Capuano. FINRA was investigating allegations that Capuano sold $1.1 million worth of investments in Woodbridge Mortgage Investment Funds without ...

21
Apr

Attorney David Neuman Is Quoted in the Seattle Times

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Attorney David Neuman Is Quoted in the Seattle Times

Attorney David Neuman Is Quoted in the Seattle Times   Attorney David Neuman was quoted in the Seattle Times on April 21, 2016.  The article, written by Angel Gonzalez, was about Israels & Neuman’s recent filing of an adversary complaint against former investment advisor Chris Yoo.   A link to the article can be found ...

20
Apr

WARNING! Impending Investigation: GERARD FAGNANT and LPL FINANCIAL

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WARNING!  Impending Investigation:  GERARD FAGNANT and LPL FINANCIAL

Investigation of Gerard Fagnant and LPL Financial   Have you lost money with financial advisor Gerard Fagnant of Leominster, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gerard A. Fagnant. FINRA barred Fagnant from the securities industry after he allegedly borrowed $325,000 from firm customers.  FINRA alleged that Fagnant ...

20
Apr

WARNING! Impending Investigation: SCOTT MUIRHEAD and MERRILL LYNCH

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WARNING!  Impending Investigation:  SCOTT MUIRHEAD and MERRILL LYNCH

Investigation of Scott Muirhead and Merrill Lynch   Have you lost money with financial advisor Scott Muirhead of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Scott Muirhead. FINRA barred Muirhead from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Muirhead ...

20
Apr

WARNING! Impending Investigation: ALAN CASHAW JR. and FSC SECURITIES CORP.

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WARNING!  Impending Investigation:  ALAN CASHAW JR. and FSC SECURITIES CORP.

Investigation of Alan Cashaw Jr. and FSC Securities Corp.   Have you lost money with financial advisor Alan Cashaw of Philadelphia, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alan Cashaw, Jr.. FINRA barred Cashaw from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

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