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UPDATE! STEPHEN EUBANKS Arrested for FRAUD–Hingham, MA

29
Nov

UPDATE! STEPHEN EUBANKS Arrested for FRAUD–Hingham, MA

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UPDATE!  STEPHEN EUBANKS Arrested for FRAUD–Hingham, MA

Stephen Eubanks of Hingham, Massachusetts Arrested for Fraud   Have you lost money with financial advisor Stephen Eubanks of Hingham, Massachusetts?  We are continuing our investigation into allegations regarding Stephen S. Eubanks, who was arrested on November 29, 2016.  According to the Hingham Patch, Eubanks was arrested and charged with wire fraud.   Earlier this ...

28
Nov

FINRA Fines VALIC Financial Advisors $1.75 Million in Variable Annuity Sales

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FINRA Fines VALIC Financial Advisors $1.75 Million in Variable Annuity Sales

FINRA Fines VALIC Financial Advisors $1.75 Million Regarding Variable Annuity Sales and Other Allegations   FINRA (the Financial Industry Regulatory Authority) recently brought a regulator action against VALIC Financial Advisors for the sales of multi-share class variable annuities.  VALIC Financial Advisors, which is a Houston, Texas-based securities brokerage firm, was alleged to have violated securities rules ...

28
Nov

WARNING! Investigation of JEFFREY HILL and DOUGHERTY & COMPANY–Bemidji, Minnesota

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WARNING!  Investigation of JEFFREY HILL and DOUGHERTY & COMPANY–Bemidji, Minnesota

INVESTOR WARNING!  Jeffrey Hill of Bemidji, Minnesota and Dougherty & Company, LLC   Have you lost money with financial advisor Jeffrey Hill of Bemidji, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jeffrey A. Hill and his former brokerage firm, Dougherty & Company LLC.  FINRA alleged that Jeffrey ...

28
Nov

WARNING! Investigation of JAMES FONSECA–New York, NY

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WARNING!  Investigation of JAMES FONSECA–New York, NY

INVESTOR WARNING!  James Fonseca from New York, New York   Have you lost money with financial advisor James Fonseca of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James L. Fonseca. FINRA barred Fonseca from the securities industry after he allegedly commingled a customer’s funds with ...

23
Nov

WARNING! Investigation of NATHAN KOENIG–Perrysburg, Ohio

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WARNING!  Investigation of NATHAN KOENIG–Perrysburg, Ohio

Nathan Koenig of Perrysburg, Ohio Sued by FINRA   Have you lost money with financial advisor Nathan Koenig of Perrysburg, Ohio?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Nathan T. Koenig, a former advisor at Huntington Investment Company.  FINRA alleged that Koenig tried to settle a case with a ...

23
Nov

WARNING! Investigation of SVEN KARLEN–Lebanon, New Hampshire

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WARNING!  Investigation of SVEN KARLEN–Lebanon, New Hampshire

INVESTOR WARNING!  Sven Karlen from Lebanon, New Hampshire   Have you lost money with financial advisor Sven Karlen of Lebanon, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sven J. Karlen, Jr. FINRA suspended Karlen for six months regarding allegations that he exercised discretionary power in 21 customer ...

23
Nov

WARNING! Investigation of JOHN BURNS–Chesterfield, Missouri

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WARNING!  Investigation of JOHN BURNS–Chesterfield, Missouri

INVESTOR WARNING!  John Burns from Chesterfield, Missouri   Have you lost money with financial advisor John Burns of Chesterfield, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John E. Burns. FINRA suspended Burns for 14 months regarding allegations that he exercised discretionary power in nine customer accounts without prior ...

23
Nov

UPDATE! Jason Vanclef and VFG Securities, Inc.

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UPDATE!  Jason Vanclef and VFG Securities, Inc.

WARNING!  Jason Vanclef and VFG Securities, Inc.   Have you lost money with financial advisor Jason Vanclef of Culver City, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jason B. Vanclef. FINRA brought a regulatory action against Vanclef and VFG Securities in February 2016, alleging that they made misrepresentations ...

18
Nov

WARNING! Investigation of KEVIN HUDAK–Albuquerque, NM

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WARNING!  Investigation of KEVIN HUDAK–Albuquerque, NM

INVESTOR WARNING!  Kevin Hudak from Albuquerque, New Mexico   Have you lost money with financial advisor Kevin Hudak of Albuquerque, New Mexico?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin P. Hudak. FINRA barred Hudak from the securities industry after he allegedly had customers sign blank forms and then ...

18
Nov

WARNING! Investigation of EMILY THOMPSON–Wauseon, OH

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WARNING!  Investigation of EMILY THOMPSON–Wauseon, OH

INVESTOR WARNING!  Emily Thompson from Wauseon, Ohio   Have you lost money with financial advisor Emily Thompson of Wauseon, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Emily M. Thompson. FINRA barred Thompson from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating ...

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