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OctPIABA Awards Attorney AARON ISRAELS for Outstanding Service
PIABA Awards Aaron Israels for Outstanding Service at its Annual Meeting We are pleased to announce that one of Israels & Neuman, PLC’s partners, Aaron Israels, was recognized at the 2018 annual meeting of the Public Investors Arbitration Bar Association (“PIABA”), for his outstanding service to PIABA. He was one of three attorneys recognized ...
31
OctLost Money with MICHAEL HEATH of First Allied Securities?
Michael Heath, from Ladera Ranch, California, Subject of FINRA Complaint Have you lost money with financial advisor Michael Heath of Ladera Ranch, California? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Eugene Heath. FINRA suspended Heath 45 days from the securities industry and fined him $12,500. FINRA ...
31
OctInvestigation of DAVID FERWERDA – Grand Rapids, MI
David Ferwerda, formerly with Signator Investors, Barred from Securities Industry Have you lost money with financial advisor David Ferwerda from Grand Rapids, Michigan? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against David Ferwerda. FINRA barred Dave Ferwerda from the securities industry after he failed to respond to an ...
30
OctERIC HESSE Investor Complaints – Chicago, IL
Eric Hesse from Chicago, Illinois Subject of Illinois Securities Department Complaint Have you lost money with financial advisor Eric Hesse from Chicago, Illinois? We are continuing our investigation into allegations made by the Illinois Securities Department against Eric A. Hesse, who has been registered with Citigroup and U.S. Bancorp Investments. Illinois alleged that Hesse ...
30
OctINVESTOR WARNING! JUDITH BUFIS and TFS Securities – East Brunswick, NJ
Judith Bufis, formerly with TFS Securities, Barred from Securities Industry Have you lost money with financial advisor Judith Bufis of TFS Securities in East Brunswick, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Judith Ann Bufis. FINRA barred Bufis from the securities industry after she failed ...
29
OctBRUCE PLYER of Morgan Stanley Terminated for Unauthorized Trading
Bruce Plyer, formerly with Morgan Stanley, Barred from Securities Industry Have you lost money with financial advisor Bruce Plyer from Florham Park, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bruce Arnold Plyer. FINRA barred Plyer from the securities industry after he failed to respond to ...
29
OctDAVID COLFLESH of NYLife – 18 Customer Complaints!
David Colflesh, formerly with NYLife Securities, Suspended Eighteen Months Have you lost money with financial advisor David Colflesh of Tarkio, Missouri? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against David R. Colflesh. FINRA suspended Colflesh from the securities industry for eighteen months and ordered him to disgorge over ...
25
OctInvestigation: STEPHEN COUPE of First Allied Securities
Stephen Coupe, formerly with First Allied Securities, Subject of Washington Securities Division Complaint Have you lost money with financial advisor Stephen Coupe of Silverdale, Washington? We are investigating allegations made by the Washington Securities Division. Washington alleged that Coupe made trades in First Allied Securities customer accounts without receiving prior written authorization. Stephen Coupe ...
25
OctINVESTIGATION: JOHN SIMONCIC of Financial West Group
John Simoncic of Westlake Village, CA Barred from Securities Industry Have you lost money with financial advisor John Simoncic? We are investigating allegations made about John S. Simoncic from Westlake Village, California. FINRA (the Financial Industry Regulatory Authority) barred Simoncic from the securities industry. FINRA was investigating John Simoncic, a broker who previously worked ...
25
OctINVESTOR ALERT! Sean Kelly and Lion’s Share – Marietta, GA
Sean Kelly, formerly with Center Street Securities and Capital Financial, Subject of SEC Complaint Have you lost money investing with Sean Kelly from Marietta, Georgia? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Sean Joseph Kelly, formerly with Center Street Securities. Kelly was the subject of a complaint by ...
