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10.0David P Neuman
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29
Jun

UPDATE! Dain Stokes of LPL Financial is BARRED – Bedford, NH

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FRAUD WARNING - Dain Stokes of LPL Financial in Bedford, NH

Dain Stokes, formerly with LPL Financial, Barred by SEC Have you lost money with financial advisor Dain Stokes of Bedford, New Hampshire?  We are continuing to look into allegations made against Dain F. Stokes, who was barred from the securities industry by the Securities and Exchange Commission (SEC).  The SEC alleged that this conduct took […]

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29
Jun

WARNING! Ryan Davis of Wells Fargo SUSPENDED – Mahwah, NJ

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INVESTMENT FRAUD: Ryan Davis of Wells Fargo in Mahwah, NJ

Ryan Davis, previously with Wells Fargo, Suspended 18 Months by FINRA Have you lost money with financial advisor Ryan Davis?  We are looking into allegations made about Ryan Matthew Davis from Mahwah, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Davis from the securities industry for 18 months and fined him $15,000.  FINRA was […]

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27
Jun

Complaints Against Advisor FRANK STAMA – Bedford, NH

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Investor Alert: Frank Stama of MKT Investments and losses in ETFs in Bedford, NH

Frank Stama Subject of New Hampshire Securities Complaint Regarding ETFs Have you lost money with investment advisor Frank Stama of Bedford, New Hampshire?  We are investigating allegations made by the New Hampshire Securities Bureau against Frank Stama and MKT Investments.  New Hampshire alleged that Stama used inverse and leveraged ETFs in an unsuitable manner. ETFs […]

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26
Jun

WARNING! Losses with Advisor JON LINDBERG – Birmingham, AL

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Investor Alert: Jon Lindberg of ProEquities Securities in Birmingham, AL

Jon Lindberg, Formerly with ProEquities, Subject to Montana Securities Complaint Have you lost money with financial advisor Jon Lindberg of Birmingham, Alabama?  We are investigating allegations made by the Montana Securities Commission against Jon P. Lindberg and his firm, First Advisors Capital.  According to the complaint filed against Lindberg, Lindberg advised a client to move […]

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23
Jun

GEORGE TAYLOR of Fairport Capital Ordered to Pay $2M – Litchfield, CT

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Investor Alert: George Taylor of Fairport Capital in Litchfield, CT

George Taylor, Formerly with Fairport Capital, Ordered to Pay $2 Million Have you lost money with financial advisor George Taylor of Litchfield, Connecticut?  We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against George Lewis Taylor.  In June 2020, the SEC obtained a judgment against Taylor and his advisory […]

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22
Jun

WARNING! Advisor Frank Venturelli SUSPENDED – Red Bank, NJ

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Investor Alert: Frank Venturelli of First Standard Financial in Red Bank, NJ

Frank Venturelli, formerly with First Standard Financial Company, Suspended by FINRA Have you lost money with financial advisor Frank Venturelli from Red Bank, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Frank Venturelli. FINRA filed a complaint against Venturelli regarding allegations while he was affiliated with First […]

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19
Jun

WARNING! Forest Securities and Sales of Woodbridge Ponzi Scheme

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Investor Alert: Christopher Wurtzinger, Forest Securities, Jeffrey Nimmow and Woodbridge Investments

Christopher Wurtzinger, formerly CCO of Forest Securities, Suspended by FINRA for Failing to Supervise Sales of Woodbridge Have you lost money investing in Woodbridge through former advisors of Forest Securities?  FINRA (the Financial Industry Regulatory Authority) recently suspended Christopher Wurtzinger for four weeks, alleging that Wurtzinger failed to adequately supervise representatives of Forest Securities who […]

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17
Jun

WARNING! James Van Ham of O.N. Equity SUSPENDED – Naperville, IL

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Investor Alert! Gregory Ricker of Westpark Capital in Fort Lauderdale, FL

James Van Ham, previously with O.N. Equity Sales Company, Suspended by FINRA Have you lost money with financial advisor James Van Ham from Naperville, Illinois?  We are currently investigating allegations made against James J. Van Ham, who previously worked with O.N. Equity Sales Company.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against […]

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17
Jun

WARNING! Complaints Against JULIAN PIEKARCZYK of Pruco – Joliet, IL

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Investor Alert: Julian Piekarczyk of Pruco Securities in Joliet, IL

Julian Piekarczyk, formerly with Pruco Securities, Subject of FINRA Complaint Have you lost money with financial advisor Julian Piekarczyk from Joliet, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Julian J. Piekarczyk. FINRA filed a complaint against Piekarczyk regarding allegations while he was affiliated with Pruco Securities   […]

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16
Jun

RBC Capital is Sued Regarding Advisor BRUCE CAMERON – Norwell, MA

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Investor Alert: Bruce Cameron of RBC Capital Markets in Norwell, MA

RBC Capital Markets Sued by Massachusetts Securities Division Regarding Advisor Bruce Cameron Have you lost money with financial advisor Bruce Cameron of Norwell, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division against Bruce T. Cameron, an advisor at RBC Capital Markets.  Massachusetts alleged that Cameron concentrated many of his clients’ assets in […]

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