10.0David P Neuman
(720) 599-3505

ALERT! Advisor CYNTHIA COWDEN Barred – Lake Isabella, CA

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26
Oct

ALERT! Advisor CYNTHIA COWDEN Barred – Lake Isabella, CA

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ALERT!  Advisor CYNTHIA COWDEN Barred – Lake Isabella, CA

Cynthia Cowden, formerly with NPB Financial Group, Barred by FINRA Have you lost money with financial advisor Cynthia Cowden?  We are looking into allegations made about Cynthia D. Cowden from Lake Isabella, California.  FINRA (the Financial Industry Regulatory Authority) barred Cowden from the securities industry.  FINRA alleged that Cowden sold unsuitable non-traded REITs (real estate ...

26
Oct

JAMES COUTURE of LPL Financial BARRED – Worcester, MA

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JAMES COUTURE of LPL Financial BARRED – Worcester, MA

James Couture, formerly with LPL Financial, Barred by FINRA Have you lost money with financial advisor James Couture?  We are looking into allegations made about James K. Couture from Worcester, Massachusetts.  FINRA (the Financial Industry Regulatory Authority) barred Couture from the securities industry.  FINRA alleged that Couture has failed to respond to its investigation.  Couture ...

20
Oct

Investigation of TROY BAILY of SagePoint Financial – Omaha, NE

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Investigation of TROY BAILY of SagePoint Financial – Omaha, NE

Troy Baily, previously with SagePoint Financial, Suspended by FINRA Have you lost money with financial advisor Troy Baily?  We are looking into allegations made about Troy R. Baily from Omaha, Nebraska.  FINRA (the Financial Industry Regulatory Authority) suspended Baily from the securities industry for six months and fined him $5,000.  FINRA was investigating Baily after ...

20
Oct

COMPLAINTS Against CONRAD COGGESHALL – Scottsdale, AZ

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COMPLAINTS Against CONRAD COGGESHALL – Scottsdale, AZ

Conrad Coggeshall, formerly with Packerland Brokerage Services, Subject of Arizona Complaint Have you lost money with financial advisor Conrad Coggeshall of Scottsdale, Arizona?  We are investigating allegations made the Arizona Corporation Commission against Coggeshall.  Arizona alleged that Coggeshall raised funds for investments in Business Owners Tax Relief (BOTR) but really used investor funds for personal ...

20
Oct

Alert! TROY BAILY of SagePoint Financial SUSPENDED – Omaha, NE

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Alert!  TROY BAILY of SagePoint Financial SUSPENDED – Omaha, NE

Troy Baily, previously with SagePoint Financial, Suspended by FINRA Have you lost money with financial advisor Troy Baily?  We are looking into allegations made about Troy R. Baily from Omaha, Nebraska.  FINRA (the Financial Industry Regulatory Authority) suspended Baily from the securities industry for six months and fined him $5,000.  FINRA was investigating Baily after ...

20
Oct

WARNING! Advisor Christopher Fernan BARRED – Melville, NY

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WARNING!  Advisor Christopher Fernan BARRED – Melville, NY

Christopher Fernan, formerly with Salomon Whitney Financial, Barred by FINRA Have you lost money with financial advisor Christopher Fernan?  We are looking into allegations made about Christopher A. Fernan from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Fernan from the securities industry.  FINRA alleged that Fernan has failed to respond to its ...

16
Oct

WARNING: Pratul Agnihotri of Spartan SUSPENDED – New York, NY

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WARNING:  Pratul Agnihotri of Spartan SUSPENDED – New York, NY

Pratul Agnihotri, Formerly with Spartan Capital Securities and Aegis Capital, Suspended by FINRA Have you lost money with financial advisor Pratul V, Agnihotri from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Pratul Agnihotri. FINRA filed a complaint against Agnihotri regarding allegations while he was ...

16
Oct

UPDATE: SEAN REFSNIDER / Ameriprise BARRED – Haddon Heights, NJ

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UPDATE:  SEAN REFSNIDER / Ameriprise BARRED – Haddon Heights, NJ

Sean Refsnider, Formerly with Ameriprise Financial Services, Barred from Securities Industry Have you lost money with financial advisor Sean Refsnider?  We are continuing to look into allegations made about Sean Michael Refsnider from Haddon Heights, New Jersey.  In April 2020, FINRA (the Financial Industry Regulatory Authority) sought to bar Refsnider from the securities industry.  FINRA ...

14
Oct

WARNING: Advisor JEFFREY BROTEN is BARRED – Red Bank, NJ

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WARNING:  Advisor JEFFREY BROTEN is BARRED – Red Bank, NJ

Jeffrey Broten, formerly with First Standard Financial Company, Barred by FINRA Have you lost money with financial advisor Jeffrey Broten?  We are looking into allegations made about Jeffrey A. Broten from Red Bank, New Jersey.  FINRA (the Financial Industry Regulatory Authority) barred Broten from the securities industry.  FINRA alleged that Broten has failed to respond ...

14
Oct

WARNING: Advisor Lonna Dehn Ristvedt SUSPENDED – Fargo, ND

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WARNING:  Advisor Lonna Dehn Ristvedt SUSPENDED – Fargo, ND

Lonna Dehn Ristvedt, previously with National Planning Corp., Suspended by FINRA Have you lost money with financial advisor Lonna Dehn Ristvedt?  We are looking into allegations made about Lonna R. Dehn Ristvedt from Fargo, North Dakota.  FINRA (the Financial Industry Regulatory Authority) suspended Dehn Ristvedt from the securities industry for four months and fined her ...

10.0David P Neuman

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