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14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

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INVESTOR ALERT! Donald Logan and Waddell & Reed

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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INVESTOR ALERT! Dennis Hayes, Salomon Whitney and Newbridge Securities

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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INVESTOR ALERT! CFD Investments

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 […]

9
Jan

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

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INVESTOR ALERT! Daniel Levine and 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 […]

7
Jan

SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

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INVESTOR ALERT! IneedMD and Spartan Capital Securities

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 […]

4
Jan

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

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INVESTOR ALERT: Gary Pevey and Mutual Securities and Woodbridge

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 […]

28
Dec

WELLS Fargo Advisor JOHN SCHMIDT Arrested for FRAUD

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Investigation: John Schmidt and Wells Fargo

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
Dec

ALLEGATIONS Against STEPHEN CARBONELLA of LPL Financial

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INVESTIGATION! Stephen Carbonella and 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 […]

18
Dec

UPDATE! ADAM LOPEZ Barred After Swindling Customers

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INVESTOR ALERT! Adam Lopez of Country Capital Management

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
Dec

UPDATE! STEWART MALLOY of Morgan Stanley BARRED by FINRA

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INVESTOR ALERT: Gary Pevey and Mutual Securities and Woodbridge

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 […]

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