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10.0David P Neuman
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8
Sep

ALERT: Advisor JOHN JARAMILLO SUSPENDED – Westlake Village, CA

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Investor Alert: John Jaramillo of Western Int'l Securities in Westlake Village, California

John Jaramillo, formerly with Western International Securities, Suspended by FINRA Have you lost money with financial advisor John R. Jaramillo?  We are looking into allegations made about John Jaramillo from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) suspended Jaramillo from the securities industry for five months and fined $5,000.  FINRA alleged that Jaramillo […]

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4
Sep

WARNING! Peter Ianace of Merrill Lynch BARRED – Frisco, TX

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Investor Alert: Ferrell Lee Rollins of Capital Investment Group in Rocky Mount, NC

Peter Ianace, formerly with Merrill Lynch, Barred by FINRA Have you lost money with financial advisor Peter Don Ianace?  We are looking into allegations made about Peter V. Ianace from Frisco, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Ianace from the securities industry.  FINRA alleged that Ianace has failed to respond to its investigation […]

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2
Sep

MATTHEW CLASON of LPL Faces FRAUD Allegations – Glastonbury, CT

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Investor Alert: Matthew Clason of LPL Financial in Glastonbury, CT

Matthew Clason, formerly with LPL Financial, Faces Fraud Allegations by SEC Have you lost money with financial advisor Matthew O. Clason from Glastonbury, Connecticut?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against Matthew Clason. The SEC alleged that Clason misappropriated or stole over $300,000 from customers between December 2018 […]

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2
Sep

WARNING! Michael Rubel of Capitol Securities SUSPENDED – Red Bank, NJ

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Investor Alert: Michael Rubel of Capitol Securities in Red Bank, NJ

Michael Rubel, formerly of Capitol Securities Management, Suspended from Securities Industry Have you lost money with financial advisor Michael Rubel of Red Bank, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Rubel. FINRA suspended Rubel from the securities industry for 45 days after he was alleged to […]

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2
Sep

UPDATE: Advisor RONALD RICHER is BARRED – New York, NY

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Update: Ronald Richer of Garden State Securities in New York, NY

Ronald Richer, formerly with Garden State Securities, Barred by FINRA Have you lost money with financial advisor Ronald Richer?  We are continuing to look into allegations made about Ronald G. Richer from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred Ronald Richer from the securities industry.  FINRA alleged that Richer borrowed $15,000 […]

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28
Aug

INVESTIGATION of Advisor Stuart Updegrove – Norwalk, CT

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Investor Alert: Stuart Updegrove of National Securities in Norwalk, CT

Israels & Neuman, PLC Investigates Stuart Updegrove, of National Securities Corp. Have you lost money with financial advisor Stuart L. Updegrove (CRD# 2273334), of National Securities Corp., in South Norwalk, Connecticut?  We are investigating allegations of former customers related to Stuart Updegrove. Stuart Updegrove’s BrokerCheck report, a public record maintained by FINRA, states that Updegrove […]

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27
Aug

INVESTOR ALERT! Advisor JESSE KOVACS is SUSPENDED – Forked River, NJ

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Investor Alert Jesse Kovacs of O.N. Equity Sales in Forked River, NJ

Jesse Kovacs, previously with O.N. Equity Sales Company, Suspended 3 Months by FINRA Have you lost money with financial advisor Jesse Kovacs?  We are looking into allegations made about Jesse T. Kovacs from Forked River, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Kovacs from the securities industry for 3 months.  FINRA was investigating […]

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27
Aug

INVESTOR ALERT: Advisor Jose Yniguez SUSPENDED – Oxnard, CA

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Investor Alert: Jose Yniguez of Transamerica Financial in Oxnard, CA

Jose Yniguez, previously with Transamerica Financial Advisors, Suspended 14 Months by FINRA Have you lost money with financial advisor Jose Yniguez?  We are looking into allegations made about Jose A. Yniguez from Oxnard, California.  FINRA (the Financial Industry Regulatory Authority) suspended Yniguez from the securities industry for 14 months, fined him $12,500, and ordered disgorgement […]

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27
Aug

COMPLAINTS Against Advisor Lynn Cawthorne of Cambridge – Shreveport, LA

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Investor Alert: Lynn Cawthorne of Cambridge Investment in Shreveport, LA

Lynn Cawthorne, Formerly with Cambridge Investment Research, Subject of FINRA Complaint Have you lost money with financial advisor Lynn Cawthorne?  We are investigation allegations made about Lynn Dale Cawthorne from Shreveport, Louisiana.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Cawthorne from the securities industry.  FINRA alleges that Cawthorne failed to respond to its […]

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26
Aug

CFD Investments in Trouble Again Over Sales of Payson Petroleum

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Investor Alert: Payson Petroleum, CFD Investmen, Losses in ETFs

CFD Investments Settles with FINRA Yet Again, This Time Over Sales of Payson Petroleum 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 yet another regulatory action against CFD […]

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