8

Aug

WARNING! ELDRIDGE PARKS of Raymond James BARRED – Saginaw, MI

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI

Eldridge Parks, previously with Raymond James & Associates, Barred by FINRA Have you lost money with financial advisor Eldridge Parks? We are investigating allegations made about Eldridge Foster Parks from Saginaw, Michigan. FINRA (the Financial Industry Regulatory Authority) barred Parks from the securities industry after Parks failed to respond to its investigation. FINRA was […]

8

Aug

WARNING! Investigation of KEN KAVANAGH of Morgan Stanley – New York, NY

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INVESTOR ALERT! Ken Kavanagh of Morgan Stanley in New York

Ken Kavanagh, previously with Morgan Stanley, Suspended 18 Months by FINRA Have you lost money with financial advisor Ken Kavanagh? The law firm of Israels & Neuman is investigating allegations made about Ken J. Kavanagh from New York, New York. FINRA (the Financial Industry Regulatory Authority) suspended Kavanagh from the securities industry for 18 […]

2

Aug

INVESTIGATION of Advisor DAVID VOLPE of Scottsdale, AZ

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INVESTIGATION of David Volpe of National Planning and LPL Financial in Scottsdale, AZ

David Volpe, previously with National Planning Corp., Barred by FINRA Have you lost money with financial advisor David Volpe? The law firm of Israels & Neuman is investigating allegations made about David J. Volpe from Scottsdale, Arizona. FINRA (the Financial Industry Regulatory Authority) barred Volpe from the securities industry after Volpe failed to respond […]

1

Aug

INVESTOR ALERT! YOUSUF SALJOOKI Complaints, Lawsuits, and Fraud

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Investigation of Yousuf Saljooki of SW Financial in Melville, NY

Yousuf Saljooki, formerly with SW Financial, Suspended by FINRA Have you lost money with financial advisor Yousuf Saljooki, formerly of SW Financial, from Melville, New York? The law firm of Israels & Neuman is investigating Saljooki, who was recently suspended by FINRA (the Financial Industry Regulatory Authority) for nine months. FINRA was investigating Saljooki […]

1

Aug

COMPLAINTS Against MARK CHRISTIANSEN – Woodinville, WA

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INVESTOR ALERT! Mark Christiansen of United Planners in Woodinville WA

Mark Christiansen, formerly with United Planners Financial Services, Subject of Washington Securities Division Complaint Have you lost money with financial advisor Mark A. Christiansen of Woodinville, Washington? The Law Firm of Israels & Neuman is investigating allegations made by the Washington Securities Division. Washington alleged that Christiansen failed to file an annual report on […]

1

Aug

INVESTIGATION of TIMOTHY PROUTY of Morgan Stanley – Albuquerque, NM

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INVESTOR ALERT! Timothy Prouty of Morgan Stanley in Anchorage Alaska

Morgan Stanley Ordered to Pay Over $500,000 Regarding Conduct of Timothy Prouty Have you lost money with financial advisor Timothy John Prouty of Morgan Stanley, in Albuquerque, New Mexico? The Law Firm of Israels & Neuman is investigating allegations of former customers related to Timothy or Tim Prouty. Tim Prouty’s BrokerCheck report, a public […]

31

Jul

DIANE ZHU of PFS Investments, Barred by FINRA

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INVESTOR ALERT! Diane Zhu of PFS Investments in San Francisco, CA

Diane Zhu, previously with PFS Investments, Barred by FINRA Have you lost money with financial advisor Diane Zhu? The law firm of Israels & Neuman is investigating allegations made about Diane Q. Zhu from San Francisco, California. FINRA (the Financial Industry Regulatory Authority) barred Zhu from the securities industry after Zhu failed to respond […]

31

Jul

FRAUD ALERT! Cynthia Jones of Fidelity Brokerage BARRED – Boston, MA

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FRAUD ALERT! Cynthia Jones of Fidelity Brokerage in Boston Accused of FRAUD

Cynthia Jones, previously with Fidelity Brokerage Services, Barred by FINRA Have you lost money with financial advisor Cynthia Jones of Fidelity Brokerage Services? The law firm of Israels & Neuman is investigating allegations made about Cynthia Rice Jones from Boston, Massachusetts. FINRA (the Financial Industry Regulatory Authority) barred Jones from the securities industry after […]

31

Jul

ERIC NICHOLS of Rolling Hills, CA Suspended

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INVESTOR ALERT! Eric Nichols of Rolling Hills California Morgan Stanley

Eric Nichols, formerly with Morgan Stanley, Suspended by FINRA Have you lost money with financial advisor Eric Nichols of Rolling Hills, California? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Eric Nichols. FINRA suspended Nichols from the securities industry for fifteen days and fined him $5,000. FINRA was […]

30

Jul

INVESTOR ALERT! Complaints Against LOUIS MILLER of LPL Financial – New York

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INVESTOR ALERT! Daniel Maughan of Financial West Group in Los Angeles CA

Louis Miller, previously with LPL Financial, Subject of FINRA Complaint Have you lost money with financial advisor Louis Miller? We are investigating allegations made about Louis Mark Miller from Jericho, New York. FINRA (the Financial Industry Regulatory Authority) seeks to bar Miller from the securities industry. FINRA alleges that Miller failed to respond to […]

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8

WARNING! ELDRIDGE PARKS of Raymond James BARRED – Saginaw, MI

8

WARNING! Investigation of KEN KAVANAGH of Morgan Stanley – New York, NY

2

INVESTIGATION of Advisor DAVID VOLPE of Scottsdale, AZ

1

INVESTOR ALERT! YOUSUF SALJOOKI Complaints, Lawsuits, and Fraud

1

COMPLAINTS Against MARK CHRISTIANSEN – Woodinville, WA

1

INVESTIGATION of TIMOTHY PROUTY of Morgan Stanley – Albuquerque, NM

31

DIANE ZHU of PFS Investments, Barred by FINRA

31

FRAUD ALERT! Cynthia Jones of Fidelity Brokerage BARRED – Boston, MA

31

ERIC NICHOLS of Rolling Hills, CA Suspended

30

INVESTOR ALERT! Complaints Against LOUIS MILLER of LPL Financial – New York