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1
Dec

FORREST WESTER of Wells Fargo in Midland TX is BARRED

Losses with Forrest Wester of Wells Fargo in Midland, TX
 Forrest Wester Barred from Securities Industry MIDLAND, TEXAS     Did you invest with financial advisor Forrest Wester in Midland, Texas? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Forrest Wester, who previously worked with Wells Fargo.  He was recently expelled from the securities industry by FINRA. FINRA was …
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27
Nov

ROBERT LEE GOLDING of Pruco and Prudential is BARRED

Losses with Robert Lee Golding of Pruco and Prudential in Alpena, MI
 Financial Advisor Robert Lee Golding Barred from Securities Industry ALPENA, MICHIGAN     Are you a former client of financial advisor Robert Lee Golding in Alpena, Michigan? Our law firm is looking into claims made against Robert Lee Golding also known as Rob Golding, who previously worked with Pruco Securities and Prudential Insurance.  According to FINRA’s Disciplinary …
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22
Nov

HECTOR HERNANDEZ of Money Concepts Capital is BARRED

Losses with Hector J. Hernandez of Money Concepts Capital in San Antonio, TX
 Hector Hernandez Barred from Securities Industry SAN ANTONIO, TEXAS     Are you a client of financial advisor Hector Hernandez in San Antonio, Texas?  The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Hector J. Hernandez, who previously worked with Money Concepts Capital.  FINRA’s Disciplinary Database discloses in November 2023, …
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15
Nov

ROYAL GREGORY FISHER of SagePoint Financial is SUSPENDED

Losses with Royal Gregory Fisher of SagePoint Financial in Traverse City, MI
Former SagePoint Financial Advisor Royal Gregory Fisher Suspended by FINRA TRAVERSE CITY, MICHIGAN     As of November 2023, Royal Gregory Fisher has been suspended by FINRA.  He previously worked with SagePoint Financial and now works with McNally Financial Services.  He was suspended for two months and fined $5,000. FINRA alleged that Fisher circumvented compliance procedures with …
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10
Nov

KEVIN LAWRENCE KELLY of Avantax Subject of COMPLAINTS

Losses with Kevin Lawrence Kelly of Avantax in Atlanta, GA
Kevin Kelly, with Avantax Investment Services, Subject of Customer Complaints ATLANTA, GEORGIA     Have you invested with stockbroker Kevin Lawrence Kelly from Atlanta, Georgia?  We are looking into two complaints made by former customers who filed claims against his brokerage firm, Avantax Investment Services.  Since August 2023, Avantax Investment Services has faced two customer complaints, …
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10
Nov

MICHAEL YOUNG HAMILTON of Centaurus Under SEC Investigation

Losses with Michael Hamilton of Centaurus Financial in Boca Raton, FL
Centaurus Financial advisor Michael Hamilton Under SEC Investigation BOCA RATON, FLORIDA Are you a current or former customer of advisor Michael Hamilton also known as Michael Young Hamilton, with Centaurus Financial in Fort Myers, Florida?  He has been with Centaurus Financial since October 2015 and is under investigation by the Securities and Exchange Commission (SEC) …
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