28
DecWELLS Fargo Advisor JOHN SCHMIDT Arrested for FRAUD
John Schmidt, formerly with Wells Fargo, Arrested for Securities Fraud Have you lost money investing with John Schmidt from Dayton, Ohio? We are continuing to look into allegations made against John Gregory Schmidt, formerly an advisor with Wells Fargo. Schmidt was arrested and charged with 128 counts of securities fraud, according to Channel 2 ...
27
DecALLEGATIONS Against STEPHEN CARBONELLA of LPL Financial
Stephen Carbonella, formerly with LPL Financial, Barred by SEC Have you lost money with financial advisor Stephen Carbonella of East Haven, Connecticut? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Stephen T. Carbonella. The SEC alleged that Stephen Carbonella misappropriated funds while employed with Webster Bank Corporation, primarily by ...
26
DecINVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA
William Council, with Raymond James, Subject of Two Customer Complaints Have you lost money with financial advisor William Council of San Diego, California? We are investigating allegations made against William M. Council. According to FINRA’s BrokerCheck, Council has been the subject of one customer complaint, alleging claims regarding over-concentration of stocks in one market ...
18
DecUPDATE! ADAM LOPEZ Barred After Swindling Customers
Adam Lopez from Springfield, Illinois Barred from Securities Industry Have you lost money with financial advisor Adam Lopez from Springfield, Illinois? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Adam Michael Lopez. FINRA barred Lopez from the securities industry after he failed to respond to an investigation. FINRA ...
17
DecUPDATE! STEWART MALLOY of Morgan Stanley BARRED by FINRA
Stewart Malloy, formerly with Morgan Stanley, Barred by FINRA – Riverhead, NY Have you lost money with financial advisor Stewart Malloy of Riverhead, New York? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Stewart Clinton Malloy. FINRA brought a complaint in August 2018, seeking to bar ...
15
DecLUKE JOHNSON of Coastal Equities, Subject of 3 Complaints
Luke Johnson, with Coastal Equities, Subject of Three Customer Complaints Have you lost money with financial advisor Luke Johnson of Scottsdale, Arizona? We are investigating allegations made against Luke M. Johnson. According to FINRA’s BrokerCheck, Johnson has been the subject of three customer complaints, alleging claims regarding non-traded REITs, or real estate investment trusts, ...
14
DecHECTOR MAY Pleads Guilty to $11 Million Customer FRAUD – Rockland, NY
Hector May, formerly with Securities America, Pleads Guilty to $11 Million Fraud Our firm is continuing its investigation into Hector A. May of New City, New York and Rockland, New York, who just pleaded guilty to an $11 million fraud in which he misappropriated funds from customers. May, who formerly was an advisor with ...
14
DecROBERT JAMISON Barred from Securities Industry – Atlanta, GA
Robert Jamison, formerly with PNC Investments and Independent Financial Group, Barred from Securities Industry Have you lost money with financial advisor Robert Jamison of Atlanta, Georgia? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert S. Jamison, II. FINRA barred Robert Jamison from the securities industry after he failed ...
14
DecCHRISTOPHER HELLMAN Customer Complaints – Boca Raton, FL
Christopher Hellman, formerly with FMSbonds and Merrill Lynch, Barred from Securities Industry Have you lost money with financial advisor Christopher Hellman of Boca Raton, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher Charles Hellman. FINRA barred Chris Hellman from the securities industry after he failed to respond ...
13
DecINVESTOR WARNING! GPB CAPITAL Investments Under INVESTIGATION
SEC and FINRA Investigating GPB Capital Holdings Have you invested in GPB Capital Holdings? Our firm is looking into investigations made against GPB Capital Holdings, which raised money from investors through private placements. GPB was alleged by the Securities and Exchange Commission (SEC) to have missed filing financial statement deadlines. It is also reported ...
