10.0David P Neuman
(720) 599-3505

Growth Capital Services FINED Regarding Private Placements

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20
Jan

Growth Capital Services FINED Regarding Private Placements

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Growth Capital Services FINED Regarding Private Placements

Growth Capital Services Settles with FINRA Regarding Private Placements We are currently investigating allegations made against Growth Capital Services, Inc., a San Francisco, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Growth Capital Services, making allegations that it frequently failed to timely file, with FINRA, documents related to ...

19
Jan

Investor Alert: Losses with LEONARD MCABEE of National Securities

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Investor Alert: Losses with LEONARD MCABEE of National Securities

ATTENTION INVESTORS IN TRUNCATUS HOLDINGS QP, LLC A/K/A BOTTLENOSE AND ADVANTAGENE, INC. Chicago, Illinois Midlothian Illinois Israels & Neuman, PLC is continuing its investigation into the sales practices of former National Securities broker Leonard McAbee (a/k/a Len McAbee).  Our law firm believes that Mr. McAbee may have been involved in selling investments in Truncatus Holdings ...

19
Jan

Update: DANIEL LEVINE and UBRA 2Contango Investment FRAUD

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Update: DANIEL LEVINE and UBRA 2Contango Investment FRAUD

Greenwood Village, CO ATTENTION INVESTORS IN 2CONTANGO, LLC d/b/a UBRA Israels & Neuman, PLC is continuing its investigation into the sales practices of former Morgan Stanley Broker Daniel Todd Levine of Greenwood Village, Colorado.  Our law firm believes that Mr. Levine may have been involved in selling investments in 2contango, LLC d/b/a UBRA, while registered ...

18
Jan

Update! STEVEN LUFTSCHEIN of Aegis is BARRED- Melville, NY

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Update! STEVEN LUFTSCHEIN of Aegis is BARRED- Melville, NY

Steven Luftschein, formerly with Aegis Capital Corp., Barred by FINRA Have you lost money with financial advisor Steven Luftschein from Melville, New York?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Steven Luftschein. In May 2020, FINRA filed a complaint against Luftschein regarding allegations while he was ...

14
Jan

Investigation of Advisor SHAWN BRUCE DAVIS – Auburn, CA

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Investigation of Advisor SHAWN BRUCE DAVIS – Auburn, CA

Israels & Neuman, PLC Investigates Shawn Davis, Formerly of Independent Financial Group Have you lost money with financial advisor Shawn Bruce Davis (CRD# 2911230), of Independent Financial Group, in Auburn, California?  We are investigating allegations of former customers related to Shawn Davis. Shawn Davis’s BrokerCheck report, a public record maintained by FINRA, states that Davis ...

13
Jan

Warning: CHRISTOPHER BLACK of LPL is BARRED – Statesboro, GA

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Warning: CHRISTOPHER BLACK of LPL is BARRED – Statesboro, GA

Christopher Black, formerly with LPL Financial, Barred by FINRA Have you lost money with financial advisor Christopher Black?  We are looking into allegations made about Christopher Bryan Black from Statesboro, Georgia.  FINRA (the Financial Industry Regulatory Authority) barred Black from the securities industry.  FINRA alleged that he failed to respond to its investigation after he ...

13
Jan

Warning: JONATHAN DUDLEY of Centaurus BARRED – Atlanta, GA

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Warning: JONATHAN DUDLEY of Centaurus BARRED – Atlanta, GA

Jonathan Dudley, formerly with Centaurus Financial, Barred by FINRA Have you lost money with financial advisor Jonathan Dudley?  We are looking into allegations made about Jonathan H. Dudley from Atlanta, Georgia.  FINRA (the Financial Industry Regulatory Authority) barred Jonathan Dudley from the securities industry.  FINRA alleged that Jonathan Dudley failed to respond to its investigation.  ...

13
Jan

Investigation of MATTHEW BUCHSBAUM of UBS Financial – Stamford, CT

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Investigation of MATTHEW BUCHSBAUM of UBS Financial – Stamford, CT

Israels & Neuman, PLC Investigates Matthew Buchsbaum, of UBS Financial Services Have you lost money with financial advisor Matthew S. Buchsbaum (CRD# 2220565), of UBS Financial Services, in Stamford, Connecticut?  We are investigating allegations of former customers related to Matthew Buchsbaum. Matthew Buchsbaum’s BrokerCheck report, a public record maintained by FINRA, states that Buchsbaum has ...

12
Jan

VALIC Financial FINED Regarding Customer COMPLAINTS

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VALIC Financial FINED Regarding Customer COMPLAINTS

VALIC Financial Advisors Settles with FINRA for $350,000 Regarding Variable Annuities and Customer Complaints We are currently investigating allegations made against VALIC Financial Advisors, a Houston, Texas-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the brokerage firm (short for Variable Annuity Life Insurance Company) Financial Advisors, making allegations ...

11
Jan

DONALD ROBERT POLLARD of CBC SUSPENDED- Needham, MA

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DONALD ROBERT POLLARD of CBC SUSPENDED- Needham, MA

Donald Pollard, formerly with CBC Securities, Suspended Two Months Have you lost money with financial advisor Donald Robert Pollard from Needham, Massachusetts?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Donald Pollard.  FINRA suspended Pollard for two months and fined him $10,000.  FINRA alleged that he backdated documents and ...

10.0David P Neuman

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