ROCKVILLE CENTRE, NY Have you lost money with financial advisor Donald J. Fowler, formerly with Worden Capital Management in Rockville Centre, New York? We are looking into allegations made against Donald Fowler. Fowler was barred from the securities industry by FINRA. FINRA barred Fowler regarding allegations that he excessively traded or churned customer accounts. Donald…
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FAIR OAKS, CALIFORNIA Have you lost money with financial advisor Theodore Franse, formerly with Independent Financial Group and First Allied Securities in Fair Oaks, California? We are looking into allegations made against Theodore Franse. Franse has been the subject of six customer complaints, two of which were filed within the last year. The recent complaints…
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OAKBROOK TERRACE, ILLINOIS Have you lost money with financial advisor Andre Pierre Senegal, formerly with One America Securities in Oakbrook Terrace, Illinois? We are looking into allegations made against Andre Senegal. Senegal was suspended from the securities industry after he failed to respond to a FINRA investigation. Senegal was being investigated for allegations that he…
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MARIETTA, GEORGIA Have you lost money with financial advisor John Woods of Marietta, Georgia? The Law Firm of Israels & Neuman is looking into allegations made by the Securities and Exchange Commission (SEC) against John J. Woods. The SEC alleged that John Woods operated a Ponzi Scheme for over a decade. The SEC further alleges…
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WATERLOO, IA Have you lost money with financial advisor David M. Becker, formerly with Cetera Advisors and now with Purshe Kaplan Sterling in Waterloo, Iowa? We are looking into allegations made against David Becker, who was recently the subject of a customer complaint. The customer alleged that Becker made unsuitable recommendations to invest in real…
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SYOSSET, NEW YORK Have you lost money with financial advisor Johnnie Melvin Jones, formerly with Network 1 Financial in Syosset, New York? We are looking into allegations made against Johnnie Jones, who was suspended from the securities industry after he failed to respond to a FINRA investigation. Johnnie Jones was with Network 1 Financial from…
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GREENWOOD VILLAGE, COLORADO Have you lost money with financial advisor Mark Smith, formerly with TransAmerica Financial Advisors and now with Purshe Kaplan Sterling in Greenwood Village, Colorado? We are looking into allegations made against Mark Smith, who was allowed to “voluntarily” resign from TransAmerica Financial Advisors while it was investigating Smith regarding allegations of an…
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SAN JOSE, CALIFORNIA Have you lost money with financial advisor Weiming “Frank” Ho of San Jose, California? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Weiming “Frank” Ho. The SEC alleged that Ho and his firm, Integral Financial, failed to supervise four representatives. The SEC alleged that the representatives…
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NEW YORK, NY Have you lost money with financial advisor William Wright Jr., formerly with National Securities Corp. in New York, New York? We are looking into allegations made against William Wright, who was barred from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Wright after he was…
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SHERMAN OAKS, CALIFORNIA Have you lost money with financial advisor Alon Zak, formerly with Pruco Securities in Sherman Oaks, California? We are looking into allegations made against Alon Zak, who was the subject of a FINRA complaint after he failed to respond to a FINRA investigation. FINRA is investigating Zak regarding allegations that he created…
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