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Complaints Against MARK FLANAGAN of Citigroup Global

30
Nov

Complaints Against MARK FLANAGAN of Citigroup Global

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Complaints Against MARK FLANAGAN of Citigroup Global

Mark Flanagan, formerly with Citigroup Global Markets, Barred from Securities Industry   -Highland Park, Illinois   Have you lost money with financial advisor Mark Flanagan from Highland Park, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mark J. Flanagan. FINRA barred Flanagan from the securities industry after he ...

29
Nov

SEAN WATERS of Financial West BARRED for Churning

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SEAN WATERS of Financial West BARRED for Churning

Sean Waters, previously with Financial West Group, Barred from Securities Industry      –  Westlake Village, CA   Have you lost money with financial advisor Sean Waters?  We are investigating allegations made about Sean J. Waters from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) barred Waters from the securities industry.  FINRA was investigating ...

29
Nov

UPDATE! Chris Kubiak Is Now BARRED by Wisconsin

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UPDATE!  Chris Kubiak Is Now BARRED by Wisconsin

Chris Kubiak, formerly with Freedom Investors Corp. and Calton & Associates, Now Barred by Wisconsin   -Brookfield, Wisconsin   Have you lost money with financial advisor Chris Kubiak of Brookfield, Wisconsin?  We are continuing our investigation into allegations made by the Wisconsin Department of Financial Institutions against Chris Raymond Kubiak.  Wisconsin alleged that Kubiak stole ...

28
Nov

Advisor Arturo Nunez of PFS Primerica BARRED

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Advisor Arturo Nunez of PFS Primerica BARRED

Arturo Nunez, formerly with PFS Investments, Barred from Securities Industry   – Miami Lakes, Florida   Have you lost money with financial advisor Arturo Nunez from Miami Lakes, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Arturo  Nunez. FINRA barred Nunez from the securities industry after he failed ...

26
Nov

DAVID FAGENSON Suspended with 11 Complaints

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David Fagenson, previously with UBS Financial Services, Suspended Eight Months from Securities Industry   Have you lost money with financial advisor David Fagenson?  We are investigation allegations made about David H. Fagenson from Palm Beach, Florida.  FINRA (the Financial Industry Regulatory Authority) suspended Fagenson from the securities industry for eight months.  FINRA was investigating David ...

26
Nov

FRANK DIETRICH Barred for Selling $10 Million in Bad Investments to Clients

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FRANK DIETRICH Barred for Selling $10 Million in Bad Investments to Clients

Frank Dietrich, formerly with Quest Capital Strategies, Barred from Securities Industry   – Springfield, Virginia   Have you lost money with financial advisor Frank Dietrich from Springfield, Virginia?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Frank R. Dietrich. FINRA barred Dietrich from the securities industry regarding allegations that ...

26
Nov

SCOTT NEWSHOLME Arrested for Stealing $3.1 Million from Clients

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SCOTT NEWSHOLME Arrested for Stealing $3.1 Million from Clients

Scott Newsholme, formerly with SII Investments, Sentenced to 8.5 Years for Fraud    -Matawan, New Jersey   Have you lost money with financial advisor Scott Newsholme of Farmingdale, New Jersey?  We are continuing our investigation into Scott Newsholme, who recently pleaded guilty to wire fraud, aggravated identity theft, and preparing fraudulent tax returns.  According to ...

21
Nov

RAYMOND PIRRELLO of Hackensack, NJ Suspended 18 Months

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RAYMOND PIRRELLO of Hackensack, NJ Suspended 18 Months

Raymond Pirrello, formerly with Garden State Securities, Suspended 18 Months from Securities Industry   Have you lost money with financial advisor Raymond Pirrello of Hackensack, New Jersey?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Raymond John Pirrello, Jr.  Pirrello was suspended from the securities industry for eighteen months and ...

21
Nov

Kimberly Kitts Steals $3 Million from Royal Alliance Customers

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Kimberly Kitts Steals $3 Million from Royal Alliance Customers

Kimberly Kitts, formerly with Royal Alliance Associates, Pleaded Guilty to Criminal Charges   Have you lost money with financial advisor Kimberly Kitts of Orleans, Massachusetts?  We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC) against Kimberly Pine Kitts.  In July 2018, the SEC alleged that Kitts, who has an ...

20
Nov

Have You Lost Money with CHERYL STALLINGS? Amarillo, TX

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Have You Lost Money with CHERYL STALLINGS?  Amarillo, TX

Cheryl Stallings, formerly with LPL Financial, Barred from Securities Industry   Have you lost money with financial advisor Cheryl Stallings of Amarillo, Texas?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Cheryl Ann Stallings.  Stallings was barred from the securities industry regarding allegations that she misused customer funds and failed ...

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