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ALERT! KIMM HANNAN Found GUILTY of Investment Fraud

13
Jan

ALERT! KIMM HANNAN Found GUILTY of Investment Fraud

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ALERT!  KIMM HANNAN Found GUILTY of Investment Fraud

Kimm Hannan from Jackson Township, Ohio Found Guilty of Investment Fraud   Have you lost money with financial advisor Kimm Hannan, formerly of Jackson Township, Ohio?  On January 18, 2019, Kimm C. Hannan was found guilty of investment fraud, according to Inde Online.  Hannan is scheduled to be sentenced on January 22, 2019.  Hannan could ...

11
Jan

CFD INVESTMENTS Fined (Again) for Supervisory Failures

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CFD INVESTMENTS Fined (Again) for Supervisory Failures

CFD Investments Settles with FINRA Again, This Time Over Variable Annuities   Have you lost money investing in variable annuities through CFD Investments, Inc.?  We are currently investigating allegations made against CFD Investments, Inc., a Kokomo, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CFD Investments, making allegations ...

09
Jan

Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

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Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

Daniel Levine, formerly with Morgan Stanley, Barred by FINRA   Have you lost money with financial advisor Daniel Levine of Greenwood Village, Colorado?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Todd Levine. FINRA barred Levine from the securities industry after he failed to respond to ...

07
Jan

Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

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Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

Attorney David Neuman Is Quoted Again Regarding Non-Attorney Representatives   Attorney David Neuman was recently quoted again on the issue of non-attorney representatives (or NARs) in FINRA arbitration.  In late 2018, FINRA submitted a rule proposal to the SEC, which seeks to bar compensated NARs in its forum.   In a recent article written by ...

07
Jan

SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

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SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

Spartan Capital Securities Seeks to Enjoin FINRA Arbitration Over IneedMD and Losses   In November 2018, the Southern District of New York rendered in a decision in Spartan Capital Securities LLC v. Stonbely, Case No. 18-CV-6819.  Stonbely filed a FINRA arbitration claim against Spartan Capital Securities, alleging $87,000 in investment losses, as well as an ...

04
Jan

GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

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GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

Gary Pevey, Terminated from Mutual Securities and Suspended One Year from Securities Industry   Have you lost money with financial advisor Gary Pevey from Sacramento, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gary L. Pevey. FINRA suspended Pevey from the securities industry for one year, ordered him ...

02
Jan

CUSTOMER COMPLAINTS Against MARK KREGOR of Hilliard Lyons

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CUSTOMER COMPLAINTS Against MARK KREGOR of Hilliard Lyons

Mark Kregor, with Hilliard Lyons, Subject of Eight Customer Complaints   Have you lost money with financial advisor Mark Kregor of Louisville, Kentucky?  We are investigating allegations made against Mark Fallon Kregor.  According to FINRA’s BrokerCheck, Kregor has been the subject of eight customer complaints, seven of which were filed within the last four years.  ...

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