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Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

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Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

Donald Logan from Silverdale, Washington Suspended for Eighteen Months from Securities Industry   Have you lost money with financial advisor Donald Logan of Silverdale, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donald Logan. FINRA suspended Logan from the securities industry for eighteen months and fined him $25,000.  FINRA ...

14
Jan

COMPLAINTS: DENNIS HAYES, Newbridge Securities, and Salomon Whitney

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COMPLAINTS:  DENNIS HAYES, Newbridge Securities, and Salomon Whitney

Dennis Hayes, formerly with Newbridge Securities Corp. and Salomon Whitney Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Dennis Hayes of Charlotte, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. FINRA was investigating Nick Hayes after he was alleged to ...

11
Jan

CFD INVESTMENTS Fined (Again) for Supervisory Failures

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CFD INVESTMENTS Fined (Again) for Supervisory Failures

CFD Investments Settles with FINRA Again, This Time Over Variable Annuities   Have you lost money investing in variable annuities through CFD Investments, Inc.?  We are currently investigating allegations made against CFD Investments, Inc., a Kokomo, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CFD Investments, making allegations ...

09
Jan

Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

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Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

Daniel Levine, formerly with Morgan Stanley, Barred by FINRA   Have you lost money with financial advisor Daniel Levine of Greenwood Village, Colorado?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Todd Levine. FINRA barred Levine from the securities industry after he failed to respond to ...

07
Jan

Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

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Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

Attorney David Neuman Is Quoted Again Regarding Non-Attorney Representatives   Attorney David Neuman was recently quoted again on the issue of non-attorney representatives (or NARs) in FINRA arbitration.  In late 2018, FINRA submitted a rule proposal to the SEC, which seeks to bar compensated NARs in its forum.   In a recent article written by ...

07
Jan

SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

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SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

Spartan Capital Securities Seeks to Enjoin FINRA Arbitration Over IneedMD and Losses   In November 2018, the Southern District of New York rendered in a decision in Spartan Capital Securities LLC v. Stonbely, Case No. 18-CV-6819.  Stonbely filed a FINRA arbitration claim against Spartan Capital Securities, alleging $87,000 in investment losses, as well as an ...

04
Jan

GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

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GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

Gary Pevey, Terminated from Mutual Securities and Suspended One Year from Securities Industry   Have you lost money with financial advisor Gary Pevey from Sacramento, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gary L. Pevey. FINRA suspended Pevey from the securities industry for one year, ordered him ...

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