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10.0David P Neuman
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10
Nov

JOSHUA STEPHENS ANSELM of J.P. Morgan Charged With FRAUD -Valley Stream, NY

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Losses with Joshua Stephens-Anselm and J.P. Morgan in Valley Stream, NY

Joshua Stephens Anselm, formerly with J.P. Morgan, Charged with Fraud by SEC Have you lost money with financial advisor Joshua Stephens Anselm of J.P. Morgan in Valley Stream, New York?  We are continuing to look into allegations made by the Securities and Exchange Commission (SEC) against Stephens-Anselm.  The SEC alleged that he stole over $660,000 […]

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10
Nov

SAM AZIZ Barred/Coastal Equities Ordered to Pay $279,000 – Dublin, OH

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Losses with Sam Aziz, Coastal Equities and Wells Fargo in Dublin, OH

Coastal Equities Ordered to Pay $279,000 Regarding Sam Aziz Have you lost money with financial advisor Sam Aziz of Dublin, Ohio?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sam Aziz. In 2019, FINRA barred Aziz from the securities industry after he failed to respond to a […]

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10
Nov

UPDATE: RICHARD WESSELT of Sterne Agee BARRED – Collegeville, PA

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News Update: Richard Wesselt of Sterne Agee Financial in Collegeville, PA is Now Barred

Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company, Barred From Securities Industry Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against Wesselt. Wesselt was […]

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9
Nov

Warning: IVAN SHORE of Oppenheimer SUSPENDED – New York, NY

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Losses with Ivan Shore of Oppenheimer in New York, NY

Ivan Shore, with Oppenheimer & Co., Suspended Three Months from Securities Industry Have you lost money with financial advisor Ivan Shore of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ivan Shore. FINRA suspended Shore from the securities industry for three months and fined him $5,000 […]

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6
Nov

ANDREA WOOD of Integrity Brokerage is SUSPENDED – Indianapolis, IN

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Investor Alert: Andrea Wood of Integrity Brokerage in Indianapolis, IN

Andrea Wood, previously with Integrity Brokerage Services, Suspended by FINRA Have you lost money with financial advisors Andrea Wood and Marc Jaffe?  We are looking into allegations made about Andrea Wood from Indianapolis, Indiana.  FINRA (the Financial Industry Regulatory Authority) suspended Wood from the securities industry for twelve months and fined her $5,000.  FINRA was […]

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6
Nov

Narongdej Jaroensabphayanont of Voya SUSPENDED – Bellevue, WA

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Investor Alert: Narongdej Jaroensabphayanont of Voya Financial in Bellevue, WA

Narongdej Jaroensabphayanont, formerly with Voya Financial Advisors, Suspended by FINRA Have you lost money with financial advisor Narongdej Jaroensabphayanont of Voya Financial?  We are looking into allegations made about Narongdej or “Jay” Jaroensabphayanont from Bellevue, Washington.  FINRA (the Financial Industry Regulatory Authority) suspended Narongdej Jaroensabphayanont from the securities industry.  FINRA alleged that Narongdej Jaroensabphayanont failed […]

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5
Nov

STEPHEN SHEA and GURPREET CHANDHOKE Suspended – Orinda, CA

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Losses with Gurpreet Chandhoke, Stephen Shea, and Arete Wealth Mgmt. in Orinda, CA

Gurpreet Chandhoke and Stephen Shea, previously with Arete Wealth Management, Each Suspended Two Years by FINRA Have you lost money with financial advisors Gurpreet Chandhoke and Stephen Shea?  We are continuing to look into allegations made against Gurpreet Singh Chandhoke and Stephen F. Shea from Orinda, California.  In 2019, FINRA (the Financial Industry Regulatory Authority) […]

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30
Oct

LAWRENCE FAWCETT Ordered to Pay Customer for Unsuitable Trades

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Update Lawrence Fawcett of Westpark Capital in New York, NY

Lawrence Fawcett, formerly with Westpark Capital, Ordered to Pay Arbitration Award Have you lost money with financial advisor Lawrence Fawcett of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence (or Larry) J. Fawcett, Jr. FINRA barred Fawcett from the securities industry after he failed to […]

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30
Oct

VONNA HUSBY of Raymond James is BARRED – Fairbanks, AK

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Investor Alert: Vonna Husby of Raymond James Financial in Fairbanks, AK

Vonna Husby, formerly with Raymond James Financial, Barred by FINRA Have you lost money with financial advisor Vonna Husby?  We are looking into allegations made about Vonna K. Husby from Fairbanks, Alaska.  FINRA (the Financial Industry Regulatory Authority) barred Husby from the securities industry.  FINRA alleged that Husby failed to respond to its investigation.  Husby […]

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27
Oct

LEWIS LESTER of Olden Lane Securities SUSPENDED – Bridgewater, NJ

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Investor Alert: Lewis Lester of Olden Lane Securities in Bridgewater, NJ

Lewis Lester, previously with Olden Lane Securities, Suspended by FINRA Have you lost money with financial advisor Lewis Lester?  We are looking into allegations made about Lewis N. Lester from Bridgewater, New Jersey.  FINRA (the Financial Industry Regulatory Authority) suspended Lester from the securities industry for twelve months and fined him $5,000.  FINRA was investigating […]

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