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WARNING! Impending Investigation: LINCOLN FINANCIAL ADVISORS CORPORATION

03
Sep

WARNING! Impending Investigation: LINCOLN FINANCIAL ADVISORS CORPORATION

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Lincoln Financial Advisors Corporation, Hedge Funds, and Private Placement Variable Annuities   We are currently investigating allegations made against Lincoln Financial Advisors Corporation, a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) filed a regulatory complaint against Lincoln Financial Advisors, alleging that it failed to adequately supervise the sales of a ...

02
Sep

WARNING! Impending Investigation: LUCIAN D. HODGMAN and NEWPORT COAST SECURITIES, INC.

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Israels & Neuman, PLC investigates LUCIAN D. HODGMAN (CRD# 1546902) and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor LUCIAN D. HODGMAN (CRD# 1546902)  or NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New York?  We are investigating allegations made by various state and independent ...

02
Sep

WARNING! Impending Investigation: JAMES M. CLINGENSMITH and LPL FINANCIAL, LLC

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Israels & Neuman, PLC investigates JAMES M. CLINGENSMITH (CRD# 2185030) of LPL FINANCIAL LLC (CRD# 6431).   Have you lost money with financial advisor James Clingensmith (CRD# 2185030) of LPL Financial, LLC in Old Orchard Beach, Maine?  We are investigating allegations of Maine Office of Securities related to the conduct of James Clingensmith.  Mr. Clingensmith’s ...

02
Sep

WARNING! Impending Investigation: GARY ROBERT MILES and MIDAMERICA FINANCIAL SERVICES, INC.

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Israels & Neuman, PLC investigates GARY ROBERT MILES (CRD# 846108), formerly of MIDAMERICA FINANCIAL SERVICES, INC. (CRD# 47351 / SEC# 8-51758)   Have you lost money with financial advisor GARY R. MILES (CRD# 846108) formerly of MIDAMERICA FINANCIAL SERVICES, INC. (CRD# 47351 / SEC# 8-51758) Northeast, Pennsylvania? We are investigating allegations made by the Pennsylvania ...

02
Sep

WARNING! Impending Investigation: ANDRE V. LABARBERA and NEWPORT COAST SECURITIES, INC.

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Israels & Neuman, PLC investigates ANDRE V. LABARBERA (CRD# 2072370) and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor ANDRE V. LABARBERA (CRD# 2072370) formerly of NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New York?  We are investigating allegations made by FINRA, the Financial ...

02
Sep

WARNING! Impending Investigation: ANTONIO COSTANZO and NEWPORT COAST SECURITIES, INC.

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Israels & Neuman, PLC investigates ANTONIO COSTANZO (CRD# 2580765) and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor ANTONIO COSTANZO (CRD# 2580765), formerly of NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory ...

01
Sep

WARNING! Impending Investigation: MARC A. ARENA, NATIONAL SECURITIES CORP., and NEWPORT COAST SECURITIES

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Israels & Neuman, PLC Investigates MARC A. ARENA of NATIONAL SECURITIES CORPORATION and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor MARC A. ARENA (CRD# 2754309) of NATIONAL SECURITIES CORPORATION (CRD# 7569 / SEC# 8-164) or NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New ...

01
Sep

WARNING! Impending Investigation: DAVID MICHAEL LEVY and NEWPORT COAST SECURITIES, INC.

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Israels & Neuman, PLC Investigates DAVID MICHAEL LEVY (CRD# 2255938) and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor DAVID M. LEVY (CRD# 2255938) formerly of NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New York?  We are investigating allegations made by various state and ...

01
Sep

WARNING! Impending Investigation: ANTHONY DIAZ, formerly of IBN FINANCIAL SERVICES, INC.

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Israels & Neuman, PLC Investigates ANTHONY DIAZ (CRD# 4131948), Formerly of IBN FINANCIAL SERVICES, INC. (CRD# 42360 / SEC# 8-49815)   Have you lost money with financial advisor ANTHONY DIAZ (CRD# 4131948) formerly of IBN FINANCIAL SERVICES, INC. (CRD# 42360 / SEC# 8-49815) Northeast, Pennsylvania? We are investigating allegations made by the Pennsylvania Department of ...

01
Sep

WARNING! Impending Investigation: LEONARD A. GOLDBERG, NEWPORT COAST SECURITIES, and J.P. TURNER

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Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner Have you lost money with financial advisor Leonard A. Goldberg from Palm Springs, California?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Goldberg. FINRA alleged that Leonard Goldberg made unsuitable recommendations to his customers to switch from one mutual ...

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