10.0David P Neuman
(720) 599-3505

Advisor ASHLEY MARTIN of Morgan Stanley is BARRED – Leawood, KS

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01
Apr

Advisor ASHLEY MARTIN of Morgan Stanley is BARRED – Leawood, KS

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Advisor ASHLEY MARTIN of Morgan Stanley is BARRED – Leawood, KS

Ashley Martin, previously with Morgan Stanley, Barred by FINRA Have you lost money with financial advisor Ashley Martin?  We are looking into allegations made about Ashley K. Martin from Leawood, Kansas.  FINRA (the Financial Industry Regulatory Authority) barred Martin from the securities industry.  FINRA alleged that Martin failed to respond to its investigation.   FINRA was ...

31
Mar

WARNING: Mark Lamkin of LPL Financial is SUSPENDED – Louisville, KY

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WARNING:  Mark Lamkin of LPL Financial is SUSPENDED – Louisville, KY

Mark Lamkin, Formerly with LPL Financial, Suspended by FINRA Our firm is continuing to look into allegations made against Mark T. Lamkin of Louisville, Kentucky.  Lamkin was suspended from the securities industry for three months and fined $7,500 by FINRA, the Financial Industry Regulatory Authority.  Lamkin was alleged to have borrowed $1.26 million from a ...

31
Mar

INVESTIGATION of GERALD ROGER DEWES – East Amherst, NY

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INVESTIGATION of GERALD ROGER DEWES – East Amherst, NY

Gerald Dewes, previously with Cadaret Grant & Co., Barred by FINRA Have you lost money with financial advisor Gerald Roger Dewes?  We are looking into allegations made about Gerald Dewes from East Amherst, New York.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Dewes failed to respond to ...

30
Mar

Investigation of HAWK SYSTEMS and HAWK BIOMETRIC – Florida

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Investigation of HAWK SYSTEMS and HAWK BIOMETRIC – Florida

Losses in Hawk Systems, Inc. and Hawk Biometric Technologies Have you lost money investing in Hawk Systems, Inc. and Hawk Biometric Technologies?  Our firm is investigating the sale of investments in Hawk Systems and Hawk Biometric Technologies, after multiple news sources, including the New York Daily Times and the Palm Beach Post covered stories about ...

29
Mar

Alert: STEVEN RODEMER of Stifel Nicolaus is BARRED – Pueblo, CO

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Alert:  STEVEN RODEMER of Stifel Nicolaus is BARRED – Pueblo, CO

Steven Rodemer, previously with Stifel Nicolaus, Barred by FINRA Have you lost money with financial advisor Steven Rodemer?  We are looking into allegations made about Steven Dale Rodemer from Pueblo, Colorado.  FINRA (the Financial Industry Regulatory Authority) barred Rodemer from the securities industry.  FINRA alleged that Rodemer failed to respond to its investigation.   FINRA was ...

24
Mar

INVESTOR ALERT: DANA VIETOR of Irving, TX is BARRED

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INVESTOR ALERT:  DANA VIETOR of Irving, TX is BARRED

Dana Vietor, previously with Cape Securities, Barred by FINRA Have you lost money with financial advisor Dana Vietor?  We are looking into allegations made about Dana Bruce Vietor from Irving, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Vietor from the securities industry.  FINRA was investigating Vietor after he was alleged to have sold $3 ...

23
Mar

Investigation of JOEL FLANNIGAN of NYLife – Fort Wayne, IN

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Investigation of JOEL FLANNIGAN of NYLife – Fort Wayne, IN

Joel Flannigan, previously with NYLife Securities, Barred by FINRA Have you lost money with financial advisor Joel Flannigan?  We are looking into allegations made about Joel V. Flannigan from Fort Wayne, Indiana.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Flannigan failed to respond to its investigation.   FINRA ...

22
Mar

UPDATE! Eric Credle of Pruco is BARRED – Indianapolis, IN

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UPDATE!  Eric Credle of Pruco is BARRED – Indianapolis, IN

Eric Credle, previously with Pruco Securities, Barred by FINRA Have you lost money with financial advisor Eric Credle?  We are continuing to look into allegations made about Eric Hugh Credle from Indianapolis, Indiana.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Credle failed to respond to its investigation.   ...

21
Mar

UPDATE! Complaints Against Advisor THOMAS LOGUE – Hinsdale, IL

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UPDATE!  Complaints Against Advisor THOMAS LOGUE – Hinsdale, IL

Thomas Logue, formerly with American Independent Securities Group, Subject of Illinois Complaint Have you lost money with financial advisor Thomas Logue of Hinsdale, Illinois?  We are continuing to look into allegations made against Thomas Joseph Logue, Jr.  The Illinois Securities Department brought a complaint against Logue to determine whether he should have his registrations revoked.  ...

20
Mar

UPDATE: JAMES DAUGHTRY of Kestra is Now BARRED – Dothan, AL

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UPDATE:  JAMES DAUGHTRY of Kestra is Now BARRED – Dothan, AL

James Daughtry, previously with Kestra Investment Services, Barred by FINRA Have you lost money with financial advisor James Daughtry?  We are continuing to look into allegations made about James Blake Daughtry from Dothan, Alabama.  FINRA (the Financial Industry Regulatory Authority) barred Daughtry from the securities industry.  FINRA alleged that he failed to respond to its ...

10.0David P Neuman

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