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PIABA Awards Attorney AARON ISRAELS for Outstanding Service

31
Oct

PIABA Awards Attorney AARON ISRAELS for Outstanding Service

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PIABA Awards Attorney AARON ISRAELS for Outstanding Service

PIABA Awards Aaron Israels for Outstanding Service at its Annual Meeting   We are pleased to announce that one of Israels & Neuman, PLC’s partners, Aaron Israels, was recognized at the 2018 annual meeting of the Public Investors Arbitration Bar Association (“PIABA”), for his outstanding service to PIABA.  He was one of three attorneys recognized ...

31
Oct

Lost Money with MICHAEL HEATH of First Allied Securities?

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Lost Money with MICHAEL HEATH of First Allied Securities?

Michael Heath, from Ladera Ranch, California, Subject of FINRA Complaint   Have you lost money with financial advisor Michael Heath of Ladera Ranch, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Eugene Heath.  FINRA suspended Heath 45 days from the securities industry and fined him $12,500.  FINRA ...

31
Oct

Investigation of DAVID FERWERDA – Grand Rapids, MI

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Investigation of DAVID FERWERDA – Grand Rapids, MI

David Ferwerda, formerly with Signator Investors, Barred from Securities Industry   Have you lost money with financial advisor David Ferwerda from Grand Rapids, Michigan?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against David  Ferwerda.  FINRA barred Dave Ferwerda from the securities industry after he failed to respond to an ...

30
Oct

ERIC HESSE Investor Complaints – Chicago, IL

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ERIC HESSE Investor Complaints – Chicago, IL

Eric Hesse from Chicago, Illinois Subject of  Illinois Securities Department Complaint   Have you lost money with financial advisor Eric Hesse from Chicago, Illinois?  We are continuing our investigation into allegations made by the Illinois Securities Department against Eric A. Hesse, who has been registered with Citigroup and U.S. Bancorp Investments.  Illinois alleged that Hesse ...

30
Oct

INVESTOR WARNING! JUDITH BUFIS and TFS Securities – East Brunswick, NJ

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INVESTOR WARNING!  JUDITH BUFIS and TFS Securities – East Brunswick, NJ

Judith Bufis, formerly with TFS Securities, Barred from Securities Industry   Have you lost money with financial advisor Judith Bufis of TFS Securities in East Brunswick, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Judith Ann Bufis.  FINRA barred Bufis from the securities industry after she failed ...

29
Oct

BRUCE PLYER of Morgan Stanley Terminated for Unauthorized Trading

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BRUCE PLYER of Morgan Stanley Terminated for Unauthorized Trading

Bruce Plyer, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Bruce Plyer from Florham Park, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bruce Arnold Plyer. FINRA barred Plyer from the securities industry after he failed to respond to ...

29
Oct

DAVID COLFLESH of NYLife – 18 Customer Complaints!

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DAVID COLFLESH of NYLife – 18 Customer Complaints!

David Colflesh, formerly with NYLife Securities, Suspended Eighteen Months   Have you lost money with financial advisor David Colflesh of Tarkio, Missouri?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against David R. Colflesh. FINRA suspended Colflesh from the securities industry for eighteen months and ordered him to disgorge over ...

25
Oct

Investigation: STEPHEN COUPE of First Allied Securities

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Investigation:  STEPHEN COUPE of First Allied Securities

Stephen Coupe, formerly with First Allied Securities, Subject of Washington Securities Division Complaint   Have you lost money with financial advisor Stephen Coupe of Silverdale, Washington?  We are investigating allegations made by the Washington Securities Division.   Washington alleged that Coupe made trades in First Allied Securities customer accounts without receiving prior written authorization.  Stephen Coupe ...

25
Oct

INVESTIGATION: JOHN SIMONCIC of Financial West Group

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INVESTIGATION:  JOHN SIMONCIC of Financial West Group

John Simoncic of Westlake Village, CA Barred from Securities Industry   Have you lost money with financial advisor John Simoncic?  We are investigating allegations made about John S. Simoncic from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) barred Simoncic from the securities industry.  FINRA was investigating John Simoncic, a broker who previously worked ...

25
Oct

FRAUD ALERT! Sean Kelly and Lion’s Share – Marietta, GA

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FRAUD ALERT!  Sean Kelly and Lion’s Share – Marietta, GA

Sean Kelly, formerly with Center Street Securities and Capital Financial, Subject of SEC Complaint   Have you lost money investing with Sean Kelly from Marietta, Georgia?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Sean Joseph Kelly, formerly with Center Street Securities.  Kelly was the subject of a complaint by ...

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