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UPDATE! Jon Sugick of Southfield, MI SUSPENDED

31
Jul

UPDATE! Jon Sugick of Southfield, MI SUSPENDED

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UPDATE!  Jon Sugick of Southfield, MI SUSPENDED

Jon Sugick, formerly with NYLife Securities, Suspended Two Months   Have you lost money with financial advisor Jon Sugick of Southfield, Michigan?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Jon L. Sugick. FINRA suspended Sugick from the securities industry for two months and fined him $5,000.  ...

27
Jul

INVESTOR ALERT! Investigation of MARK KAPLAN and VANDERBILT SECURITIES

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INVESTOR ALERT!  Investigation of MARK KAPLAN and VANDERBILT SECURITIES

Vanderbilt Securities Ordered to Pay $100,000 for Failing to Supervise Advisor Mark Kaplan   Vanderbilt Securities, a securities brokerage firm based out of Woodbury, New York, was recently ordered to pay $100,000 for supervisory failures related to trading by advisor Mark Kaplan.  FINRA (the Financial Industry Regulatory Authority) found that between March 2011 and March ...

26
Jul

WARNING! Investigation: STEVEN PAGARTANIS Charged With FRAUD

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WARNING!  Investigation:  STEVEN PAGARTANIS Charged With FRAUD

Steven Pagartanis, formerly with Lombard Securities, Charged with Fraud   Have you lost money with financial advisor Steven Pagartanis of East Setauket, New York?  We are continuing our investigation into allegations made against Steven Pagartanis, who was recently charged with securities fraud and mail and wire fraud by the U.S. Attorney for the Eastern District ...

24
Jul

Israels & Neuman Obtains $50,000 for Albuquerque, NM Client

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Israels & Neuman Obtains $50,000 for Albuquerque, NM Client

Israels & Neuman Obtains FINRA Award for Albuquerque, New Mexico Resident   Israels & Neuman has just recently obtained a default FINRA (Financial Industry Regulatory Authority) Award on behalf an Albuquerque, New Mexico resident against former brokerage firm, Legend Securities, Inc.  The Albuquerque investor alleged that a former representative of Legend Securities recommended that he ...

20
Jul

INVESTOR ALERT! Christopher Parr of Overland Park, KS SUSPENDED

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INVESTOR ALERT!  Christopher Parr of Overland Park, KS SUSPENDED

Christopher Parr, formerly with KCD Financial, Suspended Two Years from Securities Industry   Have you lost money with financial advisor Christopher Parr of Overland Park, Kansas?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Christopher M. Parr.  Parr was suspended from the securities industry for two years regarding allegations that ...

20
Jul

WARNING! Impending Investigation – GEORGE TAYLOR of Litchfield, CT

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WARNING!  Impending Investigation – GEORGE TAYLOR of Litchfield, CT

George Taylor, with Fairport Capital, Subject of SEC Complaint   Have you lost money with financial advisor George Taylor of Litchfield, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against George Lewis Taylor.  The SEC alleged that Taylor and his advisory company, Temenos Advisory, steered numerous clients into risky private ...

20
Jul

WARNING! Impending Investigation – KIMBERLY KITTS of Orleans, MA

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WARNING!  Impending Investigation – KIMBERLY KITTS of Orleans, MA

Kimberly Kitts, formerly with Royal Alliance Associates, Subject of SEC Complaint   Have you lost money with financial advisor Kimberly Kitts of Orleans, Massachusetts?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Kimberly Pine Kitts.  The SEC alleged that Kitts, who has an office in Cape Cod, stole over $3 ...

19
Jul

INVESTOR ALERT! CORY WILLIAMS of Mesa, AZ in Jail for PONZI Scheme

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INVESTOR ALERT!  CORY WILLIAMS of Mesa, AZ in Jail for PONZI Scheme

Cory Williams, formerly of Taylor Capital Management, Sentenced to Seven Years in Prison   Cory Ryan Williams of Mesa, Arizona was just sentenced to seven years in prison.   The U.S. Attorney’s Office for the District of Arizona in Phoenix alleged that Cory Williams was running a Ponzi scheme.  Williams, who is from Gilbert, Arizona, was ...

19
Jul

WARNING! Impending Investigation – CHARLES STIVERS of Aurora, CO

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WARNING!  Impending Investigation – CHARLES STIVERS of Aurora, CO

Charles Stivers Subject of Colorado Securities Division Complaint   Have you lost money with financial advisor Charles Stivers from Aurora, Colorado?  We are investigating allegations made by the Colorado Division of Securities made against Charles G. Stivers. In a June 2018 order, Colorado alleged that Charles Stivers sold investments in AIM Holdings and Garden Financial ...

18
Jul

INVESTOR WARNING! Charles Bloom of Royal Palm Beach, FL BARRED

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INVESTOR WARNING!  Charles Bloom of Royal Palm Beach, FL BARRED

Charles Bloom, formerly with Chelsea Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Charles Bloom of Royal Palm Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Lewis Bloom. FINRA barred Bloom from the securities industry after he failed to respond to ...

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