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10.0David P Neuman
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15
Sep

WARNING: Advisor, Ferrell Rollins Jr. SUSPENDED – Rocky Mount, NC

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Investor Alert: Ferrell Lee Rollins of Capital Investment Group in Rocky Mount, NC

Ferrell Rollins Jr., formerly with Capital Investment Group, Suspended 6 Months by FINRA Have you lost money with financial advisor Ferrell Lee Rollins?  We are looking into allegations made about Ferrell Lee Rollins Jr. from Rocky Mount, North Carolina.  FINRA (the Financial Industry Regulatory Authority) suspended Ferrell Rollins from the securities industry for six months […]

11
Sep

WARNING! Steven Rodemer of Stifel Nicolaus – THEFT from Customers

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Fraud: Steven Rodemer of Stifel Nicolaus in Colorado Springs

Steven Rodemer, previously with Stifel Nicolaus, Ordered to Pay Civil Fine for Theft Have you lost money with financial advisor Steven Rodemer?  We are looking into allegations made about Steven Dale Rodemer from Pueblo, Colorado.  The Securities and Exchange Commission (SEC) filed a complaint against Rodemer, alleging that he stole money from a customer.  Rodemer […]

10
Sep

WARNING: Advisor LORI SACCO is Now SUSPENDED – Wauwatosa, WI

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Investor Alert: Lori Sacco of BMO Harris in Wauwatosa, WI

Lori Sacco, previously with BMO Harris, Suspended by FINRA Have you lost money with financial advisor Lori Sacco?  We are looking into allegations made about Lori Ann Sacco from Wauwatosa, Wisconsin.  FINRA (the Financial Industry Regulatory Authority) suspended Sacco from the securities industry for six months and fined $10,000.  FINRA alleged that Sacco forged and […]

9
Sep

COMPLAINTS Against Advisor BRYAN MAZLIACH – Fort Lauderdale, FL

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Investor Alert: Bryan Mazliach of Laidlaw & Co and Westpark Capital in Fort Lauderdale, Florida

Bryan Mazliach, formerly with Laidlaw & Company and Westpark Capital, Subject of FINRA Complaint Have you lost money with financial advisor Bryan G. Mazliach from Fort Lauderdale, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bryan Mazliach. FINRA filed a complaint against Mazliach regarding allegations while he was […]

9
Sep

WARNING: HARRY DATYS of Westpark Captial SUSPENDED – New York

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Investor Alert: Harry Datys of Westpark Capital in New York, NY

Harry Datys, formerly with Westpark Capital, Suspended by FINRA Have you lost money with financial advisor Harry S. Datys?  We are looking into allegations made about Harry Datys from New York, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Datys from the securities industry for fifteen months and fined $20,000.  FINRA alleged that Datys […]

8
Sep

ALERT: Advisor JOHN JARAMILLO SUSPENDED – Westlake Village, CA

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Investor Alert: John Jaramillo of Western Int'l Securities in Westlake Village, California

John Jaramillo, formerly with Western International Securities, Suspended by FINRA Have you lost money with financial advisor John R. Jaramillo?  We are looking into allegations made about John Jaramillo from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) suspended Jaramillo from the securities industry for five months and fined $5,000.  FINRA alleged that Jaramillo […]

4
Sep

WARNING! Peter Ianace of Merrill Lynch BARRED – Frisco, TX

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Investor Alert: Ferrell Lee Rollins of Capital Investment Group in Rocky Mount, NC

Peter Ianace, formerly with Merrill Lynch, Barred by FINRA Have you lost money with financial advisor Peter Don Ianace?  We are looking into allegations made about Peter V. Ianace from Frisco, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Ianace from the securities industry.  FINRA alleged that Ianace has failed to respond to its investigation […]

2
Sep

MATTHEW CLASON of LPL Faces FRAUD Allegations – Glastonbury, CT

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Investor Alert: Matthew Clason of LPL Financial in Glastonbury, CT

Matthew Clason, formerly with LPL Financial, Faces Fraud Allegations by SEC Have you lost money with financial advisor Matthew O. Clason from Glastonbury, Connecticut?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Matthew Clason. The SEC alleged that Clason misappropriated or stole over $300,000 from customers between December 2018 […]

2
Sep

WARNING! Michael Rubel of Capitol Securities SUSPENDED – Red Bank, NJ

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Investor Alert: Michael Rubel of Capitol Securities in Red Bank, NJ

Michael Rubel, formerly of Capitol Securities Management, Suspended from Securities Industry Have you lost money with financial advisor Michael Rubel of Red Bank, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Rubel. FINRA suspended Rubel from the securities industry for 45 days after he was alleged to […]

2
Sep

UPDATE: Advisor RONALD RICHER is BARRED – New York, NY

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Update: Ronald Richer of Garden State Securities in New York, NY

Ronald Richer, formerly with Garden State Securities, Barred by FINRA Have you lost money with financial advisor Ronald Richer?  We are continuing to look into allegations made about Ronald G. Richer from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred Ronald Richer from the securities industry.  FINRA alleged that Richer borrowed $15,000 […]

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10.0David P Neuman

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