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18
Oct

David Neuman Re-Elected to PIABA

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David Neuman, Securities Attorney

David Neuman Re-Elected to PIABA   Israels & Neuman, PLC is proud to announce that one of our founding and managing partners, David Neuman, has been re-elected to the PIABA (Public Investors Arbitration Bar Association) Board of Directors.  David Neuman will be serving his second three-year term on the Board of Directors and has been […]

15
Oct

WARNING! Impending Investigation: Larry Templin of Temple, TX

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INVESTOR ALERT! Larry Templin

Larry Templin, formerly of Centaurus Financial, Barred from Securities Industry   Have you lost money with financial advisor Larry Templin of Temple, Texas?  We are looking into allegations made by against Larry Joe Templin by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Templin from the securities industry after he failed to respond to an […]

15
Oct

WARNING! Impending Investigation: JOHN BUCK of Boston, MA

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INVESTOR ALERT! John Buck

John Buck, formerly of Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor John Buck of Boston, Massachusetts?  We are looking into allegations made by against John H. Buck III by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Buck from the securities industry after he failed to respond to […]

11
Oct

INVESTOR ALERT! THOMAS DAVIS and Wells Fargo LOSSES – Hilton Head Island, SC

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INVESTOR ALERT! Thomas Davis

Thomas Davis, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor, Thomas Davis of Hilton Head Island, South Carolina?  We are investigating into allegations made against Thomas Davis by FINRA (the Financial Industry Regulatory Authority).  FINRA barred him from the securities industry after he failed to respond to […]

10
Oct

WILFRED RODRIGUEZ of Wells Fargo and STOLEN MONEY? -Boca Raton, FL

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Investor Alert! Wilfred Rodriguez

Wilfred Rodriguez, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor, Wilfred Rodriguez of Boca Raton, Florida?  We are investigating into allegations made by against Wilfred Rodriguez by FINRA (the Financial Industry Regulatory Authority).  FINRA barred Wilfred Rodriguez from the securities industry after he failed to respond to […]

5
Oct

UPDATE! MATTHEW KERBY BARRED – Paoli, IN

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INVESTOR WARNING! Matthew Kerby

Matthew Kerby, formerly with Edward Jones Barred by Indiana   Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are continuing our investigation into allegations made against Matthew D. Kerby.  The Indiana Securities Commission barred Kerby from the securities industry.  Kerby was barred after he was the subject of an earlier […]

5
Oct

Complaints Against WILLIAM BLACK of Edward Jones – Malvern, AR

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INVESTOR ALERT! William Black

Edward Jones Subject of Arkansas Complaint Regarding Supervision of William Black   Have you lost money with financial advisor William Black of Malvern, Arkansas?  We are investigating allegations made by the Arkansas Securities Department.  Arkansas alleged that Edward Jones failed to reasonably supervise William “Ken” or “Kinney” Black.   Arkansas alleged that Black was placed […]

5
Oct

WARNING! Investigation of CIM SECURITIES

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INVESTOR ALERT! CIM Securities

CIM Securities Fined $15,000 For Supervisory Failures   We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against CIM Securities, a Centennial, Colorado-based securities brokerage firm.  In a recent regulatory action, FINRA fined CIM $15,000 for failing to supervise the private securities transactions of three of CIM’s representatives.   In the action, […]

5
Oct

INVESTOR ALERT! JOHN GILBERT SUSPENDED – Houston, TX

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INVESTOR ALERT! John Gilbert

John Gilbert, formerly with Raymond James & Associates, Suspended 45 Days from Securities Industry   Have you lost money with financial advisor John Gilbert from Houston, Texas?  We are investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against John Wendel Gilbert.  FINRA suspended Gilbert from the securities industry for 45 days, fined […]

4
Oct

Investigation of JON PARISER – Pacific Grove, CA

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WARNING! Jon Pariser

Jon Pariser, formerly with Independent Financial Group, Barred from Securities Industry   Have you lost money with financial advisor Jon Pariser of Pacific Grove, California?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon Richard Pariser. FINRA barred Pariser from the securities industry after he failed to […]

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