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10.0David P Neuman
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12
Aug

Losses with KIMBERLY BARENTSEN of First Allied? – Walnut Creek, CA

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Investor Alert: Kimberly Barensten of First Allied Securities in Walnut Creek, CA

Kimberly Barentsen, previously with First Allied Securities, Suspended by FINRA Have you lost money with financial advisor Kimberly Barentsen?  We are looking into allegations made about Kimberly Barentsen from Walnut Creek, California.  FINRA (the Financial Industry Regulatory Authority) suspended Barentsen from the securities industry for two months and fined her $5,000.  FINRA was investigating Barentsen […]

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11
Aug

Losses With CHRISTOPHER REID of Morgan Stanley? – Marlton, NJ

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Investor Alert: Christopher Reid of Morgan Stanley in Marlton, NJ

Christopher Reid, previously with Morgan Stanley, Suspended 4 Months by FINRA Have you lost money with financial advisor Christopher Reid?  We are looking into allegations made about Christopher A. Reid from Marlton, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Reid from the securities industry for 4 months and fined him $5,000.  FINRA was […]

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7
Aug

WARNING: SERGE PARAKHNEVICH of PHX SUSPENDED – New York

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Investor Alert: Serge Parakhnevich of PHX Financial in New York, NY

Serge Parakhnevich, formerly with PHX Financial, Suspended from Securities Industry Have you lost money with financial advisor Serge Parakhnevich of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Serge Parakhnevich. FINRA suspended Parakhnevich from the securities industry for 45 days and fined $7,500.  It was alleged […]

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5
Aug

WARNING: Investigation of VICTOR RIGONI – Lake Forest, IL

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Investor Alert: Victor Rigoni of Summit Brokerage and Cetera in Lake Forest, IL

Israels & Neuman, PLC Investigates Victor Rigoni, of Summit Brokerage Services and Cetera Advisor Networks Have you lost money with financial advisor Victor A. Rigoni III (CRD# 4272056), of Summit Brokerage Services and Cetera Advisor Networks, in Lake Forest, Illinois?  We are investigating allegations of former customers related to Victor Rigoni. Victor Rigoni’s BrokerCheck report, […]

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5
Aug

Frederick Levine of Oppenheimer SUSPENDED – Florham Park, NJ

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Investor Alert: Frederick Levine of Oppenheimer in Florham Park, NJ

Frederick Levine, formerly of Oppenheimer & Co., Suspended Three Months from Securities Industry Have you lost money with financial advisor Frederick Levine of Florham Park, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick Scott Levine. FINRA suspended Levine from the securities industry for three months and fined […]

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5
Aug

Investigation Update: CHRISTOPHER DUKE BENNETT – Louisville, KY

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Update, Christopher Duke Bennett of Hilliard Lyons in Louisville, KY

Christopher Bennett, formerly with Hilliard Lyons, Barred by FINRA Have you lost money with financial advisor Christopher Duke Bennett?  We are looking into allegations made about Christopher Bennett from Louisville, Kentucky.  FINRA (the Financial Industry Regulatory Authority) barred Bennett from the securities industry.  FINRA alleged that Bennett has failed to respond to its investigation regarding […]

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31
Jul

COMPLAINTS Against RONALD RICHER / Garden State – New York, NY

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

Ronald Richer, formerly with Garden State Securities, Subject of FINRA Complaint Have you lost money with financial advisor Ronald Richer?  We are looking into allegations made about Ronald G. Richer from New York, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to punish Ronald Richer.  FINRA alleged that Richer borrowed $15,000 from a client […]

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29
Jul

UPDATE! Stanley Secor of Cetera is Now BARRED – Salt Lake City, UT

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Investor Update: Stanley Secor of Cetera in Salt Lake City, UT

Stanley Secor, formerly of Cetera Advisor Networks, Barred from Securities Industry Have you lost money with financial advisor Stanley Secor of Salt Lake City, Utah?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Secor.  Secor was barred from the securities industry after he failed to respond to FINRA’s investigation into […]

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28
Jul

STEVEN HARRIS of TransAmerica is Now BARRED – Chicago, IL

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Investor Alert: Steven Harris of TransAmerica Financial in Chicago, IL

Steven Harris, formerly with TransAmerica Financial Advisors, Barred by FINRA Have you lost money with financial advisor Steven Edwin Harris?  We are looking into allegations made about Steven Harris from Chicago, Illinois.  FINRA (the Financial Industry Regulatory Authority) barred Harris from the securities industry.  FINRA alleged that Harris has failed to respond to its investigation […]

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26
Jul

BRYANT CAVENESS of Ameriprise is Now BARRED – Kingsport, TN

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Investor Alert: Bryant Caveness of Ameriprise in Kingsport, TN

Bryant Caveness, formerly with Ameriprise Financial Services, Barred by FINRA Have you lost money with financial advisor Bryant Edwin Caveness?  We are looking into allegations made about Bryant Caveness from Kingsport, Tennessee.  FINRA (the Financial Industry Regulatory Authority) barred Caveness from the securities industry.  FINRA alleged that Caveness has failed to respond to its investigation […]

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