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UPDATE! Lombard Securities Settles with FINRA

24
Mar

UPDATE! Lombard Securities Settles with FINRA

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UPDATE!  Lombard Securities Settles with FINRA

Lombard Securities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ...

24
Mar

WARNING! Impending Investigation: KENT SALCEDO and BANCWEST INVESTMENT SERVICES

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WARNING!  Impending Investigation:  KENT SALCEDO and BANCWEST INVESTMENT SERVICES

Kent Salcedo, formerly of BancWest Investment Services, Suspended by FINRA for Six Months   Have you lost money with representative Kent Salcedo of Honolulu, Hawaii?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kent Salcedo. FINRA alleged that Salcedo forged signatures on a number of customer documents, including suitability forms, ...

23
Mar

ISRAELS & NEUMAN, PLC – RHODE ISLAND SECURITIES ATTORNEYS

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ISRAELS & NEUMAN, PLC – RHODE ISLAND SECURITIES ATTORNEYS

ISRAELS & NEUMAN, PLC – Rhode Island Securities Attorneys   Sections 501 and 605 of the Rhode Island Uniform Securities Act.   Israels & Neuman are securities arbitration and investment fraud attorneys that represent Rhode Island residents who have been wronged by their stockbrokers and brokerage firms.  Our investment fraud attorneys have previously represented investors ...

23
Mar

WARNING! Impending Investigation: CHRISTOPHER ELLIOTT and ETFs

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WARNING!  Impending Investigation:  CHRISTOPHER ELLIOTT and ETFs

Investigation of Christopher Elliott and ETFs   Have you lost money with financial advisor Christopher J. Elliott from Dumfries, Virginia? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher Elliott.  Elliott was suspended from the securities industry for two months by FINRA after he used unsuitable trading of ETFs (exchange ...

21
Mar

WARNING! Impending Investigation: KEVIN KUHLOW and LPL FINANCIAL

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WARNING!  Impending Investigation:  KEVIN KUHLOW and LPL FINANCIAL

Investigation of Kevin Kuhlow and LPL Financial   Have you lost money with financial advisor Kevin Kuhlow of Los Gatos, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin Kuhlow. FINRA barred Kuhlow from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating ...

21
Mar

WARNING! Impending Investigation: LANCE SLATER and MORGAN STANLEY

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WARNING!  Impending Investigation:  LANCE SLATER and MORGAN STANLEY

Investigation of Lance Slater and Morgan Stanley   Have you lost money with financial advisor Lance Slater of Mount Laurel, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lance Slater. FINRA barred Slater from the securities industry after he failed to respond to a FINRA investigation.  FINRA was ...

21
Mar

WARNING! Impending Investigation: SHARON FALL, LPL FINANCIAL, and INTERNATIONAL ASSETS ADVISORY

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WARNING!  Impending Investigation:  SHARON FALL, LPL FINANCIAL, and INTERNATIONAL ASSETS ADVISORY

Investigation of Sharon Fall, LPL Financial, and International Assets Advisory   Have you lost money with financial advisor Sharon Fall of Annapolis, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sharon Fall. FINRA barred Fall from the securities industry after she failed to respond to a FINRA investigation.  FINRA ...

21
Mar

UPDATE! Charles Fackrell Charged With Securities Fraud

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UPDATE!  Charles Fackrell Charged With Securities Fraud

Charles Fackrell Charged with Securities Fraud   Have you lost money with financial advisor Charles Caleb Fackrell from Yadkinville, North Carolina?  We have been investigating Charles Fackrell, after he was arrested in December 2014 for allegations that he stole at $300,000 from his clients.  Fackrell worked at Fackrell/Trivette Wealth Management in Yadkinville.   Last week, ...

16
Mar

WARNING! Impending Investigation: BRIAN SMIT and LPL FINANCIAL

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WARNING!  Impending Investigation:  BRIAN SMIT and LPL FINANCIAL

Investigation of Brian Smit and LPL Financial   Have you lost money with financial advisor Brian Smit of Sioux Falls, South Dakota?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian D. Smit. FINRA barred Smit from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

14
Mar

ISRAELS & NEUMAN – ALABAMA SECURITIES ATTORNEYS

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ISRAELS & NEUMAN – ALABAMA SECURITIES ATTORNEYS

ISRAELS & NEUMAN, PLC – Alabama Securities Attorneys   Sections 17 and 19 of the Alabama Securities Act.   Israels & Neuman are investment fraud and securities arbitration attorneys that represent Alabama residents who have been wronged by their stockbrokers and brokerage firms.  Our investment fraud attorneys have previously represented investors in Alabama, including several ...

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