(720) 599-3505

UPDATE! Keith M. Rogers and G.L.S. & Associates, Inc.

17
Oct

UPDATE! Keith M. Rogers and G.L.S. & Associates, Inc.

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UPDATE!  Keith M. Rogers and G.L.S. & Associates, Inc.

WARNING!  Keith M. Rogers and G.L.S. & Associates, Inc.   Have you lost money with financial advisor Keith M. Rogers of Huntsville, Alabama?  We are investigating accusations made against Keith Rogers that he stole money from his clients.  According to ABC Waay 31’s website, in March 2016, Keith Rogers pled guilty to running a $2.5 ...

15
Oct

INVESTOR WARNING! Jeffrey Howell from Chesterfield, Missouri

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INVESTOR WARNING!  Jeffrey Howell from Chesterfield, Missouri

WARNING!  Jeffrey Howell from Chesterfield, Missouri   Have you lost money with financial advisor Jeffrey Howell of Chesterfield, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey H. Howell. FINRA barred Howell from the securities industry after he failed to adequately respond to a FINRA investigation.  FINRA was investigating ...

14
Oct

WARNING! Investigation of GREGORY R. BAUER FROM PITTSBURGH, PENNSYLVANIA

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WARNING!  Investigation of GREGORY R. BAUER FROM PITTSBURGH, PENNSYLVANIA

WARNING!  Gregory R. Bauer from Pittsburgh, Pennsylvania   Have you lost money with financial advisor Gregory Bauer of Pittsburgh, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gregory R. Bauer.  FINRA barred Bauer from the securities industry regarding allegations that he stole money from his parents’ account while he ...

13
Oct

WARNING! BRANDON ADKINS FROM EAU CLAIRE, WISCONSIN

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WARNING!  BRANDON ADKINS FROM EAU CLAIRE, WISCONSIN

WARNING!  Brandon Adkins from Eau Claire, Wisconsin   Have you lost money with financial advisor Brandon M. Adkins of Eau Claire, Wisconsin?  We are investigating allegations made by the Wisconsin Department of Financial Institutions against Brandon M. Adkins. Wisconsin alleged that Adkins was terminated by his former brokerage firm, Merrill Lynch, on December 17, 2014, ...

13
Oct

INVESTOR WARNING! Jean Walsh-Josephson and Maxine Gehrt from Oshkosh, Wisconsin

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INVESTOR WARNING!  Jean Walsh-Josephson and Maxine Gehrt from Oshkosh, Wisconsin

WARNING!  Jean Walsh-Josephson and Maxine Gehrt from Oshkosh, Wisconsin   Have you lost money with financial advisor Jean Walsh-Josephson and Maxine Gehrt of Oshkosh, Wisconsin?  We are investigating allegations made by Wisconsin Department of Financial Institutions against Walsh-Josephson and Gehrt.  Wisconsin alleged that Jean Walsh-Josephson misappropriated or stole at least $302,000 in cash from a ...

13
Oct

INVESTOR WARNING! Tobin Senefeld, Jeffrey Risinger, Matthew Haab, and FarmGrowCap LLC

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INVESTOR WARNING!  Tobin Senefeld, Jeffrey Risinger, Matthew Haab, and FarmGrowCap LLC

WARNING!  Tobin Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC   Have you lost money with financial advisors Tobin J. Senefeld, Jeffrey B. Risinger, and Matthew D. Haab of Carmel, Indiana?  The Securities and Exchange Commission (SEC) brought a regulatory action against Senefeld, Risinger, Haab, and the companies that they were affiliated with.  ...

12
Oct

AARON ISRAELS SELECTED AS “RISING STAR” BY SUPER LAWYERS

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AARON ISRAELS SELECTED AS “RISING STAR” BY SUPER LAWYERS

Aaron Israels Selected as a “Rising Star” in Securities Litigation by Super Lawyers   Israels & Neuman is excited to announce that one of its partners, Aaron Israels, has been selected as one of Colorado’s “Rising Stars” in the area of securities litigation.  The “Rising Stars” recognition is a peer-nominated list that is maintained and ...

11
Oct

Arbitration Decision in Weber v. PIM Financial Services Involving FINRA Rule 12206

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Arbitration Decision in Weber v. PIM Financial Services Involving FINRA Rule 12206

Recent Arbitration Decision in Weber v. PIM Financial Services Involving FINRA Rule 12206 and Equitable Tolling   Israels & Neuman, PLC was recently involved in an arbitration matter of Weber v. PIM Financial Services, Inc. et al.  In this matter, which was filed in September 2015, the Claimants alleged that they were defrauded by financial ...

11
Oct

RECENT ARBITRATION DECISION INVOLVING FINRA RULE 12206 AND EQUITABLE TOLLING

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RECENT ARBITRATION DECISION INVOLVING FINRA RULE 12206 AND EQUITABLE TOLLING

Recent Arbitration Decision Involving FINRA Rule 12206 and Equitable Tolling   Israels & Neuman, PLC was recently involved in an arbitration matter of Weber v. PIM Financial Services, Inc. et al.  In this matter, which was filed in September 2015, the Claimants alleged that they were defrauded by financial advisor Burgess Hallums, who was later ...

11
Oct

UPDATE! Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial

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UPDATE!  Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial

WARNING!  Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial Services   Have you lost money with financial advisor Lori Cousineau Weaver from Renton, Washington?  We are continuing our investigation allegations made against Cousineau Weaver.  The Washington Division of Securities brought a regulatory complaint against Lori Cousineau Weaver and her former brokerage firm, Ameriprise Financial Services, ...

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