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1
Oct

UPDATE for VICTIMS of JAMES BOOTH Ponzi Scheme

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UPDATE ON INVESTIGATION:  James Booth, formerly with Invest Financial Corp. and LPL Financial – Norwalk, CT   Have you lost money with financial advisor James Thomas Booth of Norwalk, Connecticut?  The Law Firm of Israels & Neuman is continuing its investigation into allegations made by the Securities and Exchange Commission (SEC).  The SEC alleged that […]

1
Oct

UPDATE! GREGORY LEVINE of Ft. Lauderdale, FL is Now Barred

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UPDATE! Gregory Levine of First Allied Securities in Fort Lauderdale, FL Florida is now Barred

Gregory Levine, formerly with First Allied Securities, Barred from Securities Industry   Have you lost money with financial advisor Gregory Levine from Fort Lauderdale, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gregory Alan Levine. FINRA barred Levine from the securities industry after he failed to respond to […]

27
Sep

Have You Lost Money with NEWBRIDGE SECURITIES, CJS Technology, or ETFs?

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Losses with Newbridge Securities, CJS Technology, and ETFs in Boca Raton Florida

Newbridge Securities Corp. Settles with FINRA Over Sales of Inverse and Leveraged ETFs and CJS Technology Select Fund   Have you lost money investing in ETFs with Newbridge Securities Corp.?  The Law Firm of Israels & Neuman is currently investigating allegations made against Newbridge Securities Corp., a Boca Raton, Florida-based securities brokerage firm.  FINRA (the […]

26
Sep

WARNING! KEITH WAKEFIELD of Chicago, IL and FRAUD Complaints

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Investigation of Keith Wakefield of IFS Securities in Chicago Illinois IL

Keith Wakefield, formerly with IFS Securities, Barred from Securities Industry   Have you lost money with financial advisor Keith Wakefield from Chicago, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Keith Wakefield. FINRA barred Wakefield from the securities industry after he failed to respond to an investigation.  Wakefield […]

20
Sep

UPDATE! Complaints Against SEAN BRADY Keep on Coming – St. Louis, MO

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Sean Brady, formerly with First Allied Securities, Subject of Nine Customer Complaints   Have you lost money with financial advisor Sean Brady of St. Louis, Missouri?  We are continuing to investigate allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean Aaron Brady. FINRA previously barred Brady from the securities industry after he failed […]

19
Sep

UPDATE: KEVIN GUNNIP of Southlake, TX is BARRED

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INVESTOR ALERT! Kevin Gunnip of Morgan Stanley in Southlake, TX Texas

Kevin Gunnip, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Kevin Gunnip of Southlake, Texas?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Kevin S. Gunnip from Southlake, Texas.  FINRA barred Gunnip from the securities industry after he failed to respond to […]

18
Sep

INVESTOR ALERT! Complaints Against HALIL KOZI of PHX Financial – New York

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INVESTOR ALERT! Victor Polakoff, Robert Gray, Cantone Research, and XenaCare, Holdings in Tinton Falls, New Jersey NJ

Halil Kozi, previously with PHX Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Halil Kozi?  We are investigating allegations made about Halil Thomas Kozi from New York, New York.  FINRA (the Financial Industry Regulatory Authority) filed a complaint against Kozi, seeking to punish or fine him.   FINRA was investigating […]

18
Sep

INVESTIGATION: DAIN STOKES of LPL and Fake Taylor Swift Charity

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INVESTOR ALERT! Stephen Klinger of Wells Fargo in Asheville, NC (North Carolina)

Dain Stokes, formerly with LPL Financial, Barred for Fake Charity Supposedly Tied to Taylor Swift   Have you lost money with financial advisor Dain Stokes of Bedford, New Hampshire?  The Law Firm of Israels & Neuman is investigating allegations made against Dain Farrell Stokes, who was recently the subject of a complaint made by the […]

17
Sep

WARNING: Investigation of DONALD TEBOE of Clinton, MI

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WARNING! Donald Teboe of Cantella and Co. in Clinton, MI Michigan

Donald Teboe, formerly with Cantella & Co., Barred from Securities Industry   Have you lost money with financial advisor Donald Teboe from Clinton, Michigan?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Donald E. Teboe. FINRA barred Teboe from the securities industry after he failed to respond to an […]

16
Sep

INVESTIGATION of THOMAS STAPPAS – Parsippany, NJ

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INVESTOR ALERT! Thomas Stappas of Summit Equities in Parsippany, NJ

Thomas Stappas, formerly with Summit Equities, Barred from Securities Industry   Have you lost money with financial advisor Thomas Stappas from Parsippany, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Thomas Stappas. FINRA barred Stappas from the securities industry after he failed to respond to an investigation.  […]

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