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24
Jan

COMPLAINTS Against BRIAN RIEMAN of Hennion & Walsh – New Jersey

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INVESTOR ALERT! Brian Rieman and Hennion & Walsh

Brian Rieman, with Hennion & Walsh, Subject of Five Customer Complaints   Have you lost money with financial advisor Brian Rieman of Parsippany, New Jersey?  We are investigating allegations made against Brian C. Rieman.  According to FINRA’s BrokerCheck, Rieman has been the subject of five customer complaints, all of which were filed within the last […]

18
Jan

UPDATE! JAY WEISER of DesPain Financial Barred – Earlville, IL

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UPDATE! Jay Weiser and DesPain Financial

Jay Weiser, formerly with DesPain Financial Corp., Barred by FINRA   Have you lost money with financial advisor Jay Weiser from Earlville, Illinois investing in Woodbridge?  We are looking into allegations made FINRA (the Financial Industry Regulatory Authority) against Jay R. Weiser.  Weiser was barred from the securities industry by FINRA after he failed to […]

17
Jan

SECURITIES FRAUD: JOHN BUCK of Morgan Stanley Pleads GUILTY

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FRAUD! John Buck of Morgan Stanley

John Buck, formerly of Morgan Stanley, Pleads Guilty to Securities Fraud   Have you lost money with financial advisor John H. Buck of Boston, Massachusetts?  We are continuing to look into allegations made by against John H. Buck III. Buck was previously the subject of a complaint by FINRA (the Financial Industry Regulatory Authority).  FINRA […]

14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

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INVESTOR ALERT! Donald Logan and Waddell & Reed

Donald Logan from Silverdale, Washington Suspended for Eighteen Months from Securities Industry   Have you lost money with financial advisor Donald Logan of Silverdale, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donald Logan. FINRA suspended Logan from the securities industry for eighteen months and fined him $25,000.  FINRA […]

14
Jan

COMPLAINTS: DENNIS HAYES, Newbridge Securities, and Salomon Whitney

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INVESTOR ALERT! Dennis Hayes, Salomon Whitney and Newbridge Securities

Dennis Hayes, formerly with Newbridge Securities Corp. and Salomon Whitney Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Dennis Hayes of Charlotte, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. FINRA was investigating Dennis Hayes after he was alleged to […]

13
Jan

ALERT! KIMM HANNAN Found GUILTY of Investment Fraud

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WARNING! KIMM HANNAN of LPL Financial and Ameriprise Financial,, Guilty of Fraud

Kimm Hannan from Jackson Township, Ohio Found Guilty of Investment Fraud   Have you lost money with financial advisor Kimm Hannan, formerly of Jackson Township, Ohio?  On January 18, 2019, Kimm C. Hannan was found guilty of investment fraud, according to Inde Online.  Hannan is scheduled to be sentenced on January 22, 2019.  Hannan could […]

11
Jan

CFD INVESTMENTS Fined (Again) for Supervisory Failures

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INVESTOR ALERT! CFD Investments

CFD Investments Settles with FINRA Again, This Time Over Variable Annuities   Have you lost money investing in variable annuities through CFD Investments, Inc.?  We are currently investigating allegations made against CFD Investments, Inc., a Kokomo, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CFD Investments, making allegations […]

9
Jan

Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

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INVESTOR ALERT! Daniel Levine and Morgan Stanley

Daniel Levine, formerly with Morgan Stanley, Barred by FINRA   Have you lost money with financial advisor Daniel Levine of Greenwood Village, Colorado?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Todd Levine. FINRA barred Levine from the securities industry after he failed to respond to […]

7
Jan

SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

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INVESTOR ALERT! IneedMD and Spartan Capital Securities

Spartan Capital Securities Seeks to Enjoin FINRA Arbitration Over IneedMD and Losses   In November 2018, the Southern District of New York rendered in a decision in Spartan Capital Securities LLC v. Stonbely, Case No. 18-CV-6819.  Stonbely filed a FINRA arbitration claim against Spartan Capital Securities, alleging $87,000 in investment losses, as well as an […]

4
Jan

GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

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INVESTOR ALERT: Kristian Gaudet, Ameritas Investment Corp

Gary Pevey, Terminated from Mutual Securities and Suspended One Year from Securities Industry   Have you lost money with financial advisor Gary Pevey from Sacramento, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gary L. Pevey. FINRA suspended Pevey from the securities industry for one year, ordered him […]

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