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10.0David P Neuman
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3
Jun

COMPLAINTS Against LPL Advisor DONALD PADILLA – Alhambra, CA

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INVESTOR ALERT! Donald Padilla of LPL Financial in Alhambra, CA

Donald Padilla, from Alhambra, California, Subject of FINRA Complaint Have you lost money with financial advisor Donald Padilla of Alhambra, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Donald Padilla.  FINRA suspended Padilla for 5 months from the securities industry and fined him $10,000.  FINRA was investigating Padilla […]

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2
Jun

Investigation of MARIE KINCHELOE and Allstate Financial- Roanoke, VA

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INVESTOR ALERT! Marie Kincheloe of Allstate Financial in Roanoke, VA

Marie Kincheloe, formerly with Allstate Financial Services, Barred by FINRA Have you lost money with financial advisor Marie Kincheloe?  We are looking into allegations made about Marie B. Kincheloe from Roanoke, Virginia.  FINRA (the Financial Industry Regulatory Authority) barred Kincheloe from the securities industry.  FINRA alleged that Kincheloe has failed to respond to its investigation […]

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2
Jun

Investigation of DUSTIN AIGUIER – South Yarmouth, MA

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Investor Alert: Dustin Aiguier of American Portfolios in South Yarmouth, MA

Israels & Neuman, PLC Investigates Dustin Tylor Aiguier of American Portfolios Financial Services Have you lost money with financial advisor Dustin Tylor Aiguier (CRD# 4872987) of American Portfolios Financial Services in South Yarmouth, Massachusetts?  We are investigating allegations related to Dustin Aiguier. Dustin Aiguier’s CRD report, a public record maintained by FINRA, states that Aiguier […]

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29
May

Stifel Nicolaus Ordered to Pay $3.6 Million for Unsuitable UIT Sales

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INVESTOR ALERT! Stifel Nicolaus Fined for Sales of UIT or Unit Investment Trust

Stifel Nicolaus & Company Ordered to Pay $3.6 Million Regarding UIT Sales Have you lost money investing in Unit Investment Trusts (UITs) with Stifel Nicolaus & Company?  Stifel Nicolaus, which is a St. Louis, Missouri-based brokerage firm, was under an investigation by FINRA, the Financial Industry Regulatory Authority.  FINRA alleged that Stifel failed to adequately […]

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27
May

WARNING: Robert Korzik of Ameriprise SUSPENDED – Little Falls, NJ

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INVESTOR ALERT! Robert Korzik of Ameriprise Financial in Little Falls, NJ

Robert Korzik, formerly with Ameriprise Financial Services, Suspended Nine Months by FINRA Have you lost money with financial advisor Robert Korzik?  We are looking into allegations made about Robert N. Korzik from Little Falls, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Korzik from the securities industry for nine months and fined him $8,500.  […]

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27
May

INVESTOR ALERT: Advisor Paul Liebman SUSPENDED – Melville, NY

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Investor Alert: Paul Liebman of Wells Fargo in Melville, NY

Paul Liebman, formerly with Wells Fargo, Suspended Two Months by FINRA Have you lost money with financial advisor Paul Liebman?  We are looking into allegations made about Paul G. Liebman from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Liebman from the securities industry for two months.  FINRA alleged that Liebman borrowed $16,000 […]

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26
May

WARNING: William Hightower of UBS is Now BARRED – Houston, TX

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INVESTOR ALERT! William Hightower of UBS Financial in Houston, TX

William Hightower, formerly with UBS Financial Services, Barred by SEC Have you lost money with financial advisor William Hightower of Houston, Texas?  We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against Hightower.  Hightower was barred from the securities industry by the SEC, after he pleaded guilty to wire […]

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22
May

INVESTIGATION of Martin Noonan of BMA Securities – El Segundo, CA

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INVESTOR ALERT: Martin Noonan of BMA Securities in El Segundo, CA

Martin Noonan, Jr., formerly with BMA Securities, Barred by FINRA Have you lost money with financial advisor Martin Noonan?  We are looking into allegations made about Martin J. Noonan, Jr. from El Segundo, California.  FINRA (the Financial Industry Regulatory Authority) barred Noonan from the securities industry.  FINRA alleged that Noonan has failed to respond to […]

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21
May

UPDATE! Leonard Kinsman of Wells Fargo is BARRED – Staten Island, NY

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INVESTOR ALERT! Leonard Charles Kinsman of Wells Fargo in Staten Island, NY

Leonard Kinsman, formerly with Wells Fargo, Barred by FINRA Have you lost money with financial advisor Leonard Kinsman?  We are continuing to look into allegations made about Leonard Charles Kinsman from Staten Island, New York.  FINRA (the Financial Industry Regulatory Authority) barred Kinsman from the securities industry.  FINRA alleged that Kinsman has failed to respond […]

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19
May

DENNIS MURPHY of Monmouth Capital is BARRED – Red Bank, NJ

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INVESTOR ALERT! Dennis Murphy of Monmouth Capital in Red Bank, NJ

Dennis Murphy, formerly with Monmouth Capital Management, Barred by FINRA Have you lost money with financial advisor Dennis Murphy?  We are looking into allegations made about Dennis James Murphy from Red Bank, New Jersey.  FINRA (the Financial Industry Regulatory Authority) barred Murphy from the securities industry.  FINRA alleged that Murphy has failed to respond to […]

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