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24
Nov

Man Admits To $20 Million Ponzi Scheme In New Jersey

http://philadelphia.cbslocal.com/2014/11/20/man-admits-to-20-million-ponzi-scheme-in-new-jersey/ Man Admits To $20 Million Ponzi Scheme In New Jersey November 20, 2014 6:07 PM TRENTON, N.J. (AP) — A central New Jersey man has admitted running a $20 million Ponzi scheme. Louis Spina faces up to 20 years in prison for wire fraud when he’s sentenced in February. Spina pleaded guilty in federal court in …
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24
Nov

WARNING! Impending Investigation–LOUIS J. SPINA, T3 TRADING GROUP, and BARCLAYS CAPITAL

Louis J. Spina, T3 Trading Group, and Barclays Capital We are currently investigating allegations made against Louis J. Spina of Miami, Florida.  Louis J. Spina, who also resided in Colts Neck, New Jersey, recently pleaded guilty to wire fraud charges in connection with running a $20 million Ponzi scheme, and it is alleged that investors …
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17
Nov

WARNING! Impending Investigation–JODIE L. MILLER, VALIC FINANCIAL ADVISORS, and LPL FINANCIAL

Jodie L. Miller, VALIC Financial Advisors, and LPL Financial Have you lost money with financial advisor Jodie L. Miller from Tampa, Florida?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Jodie Miller.  FINRA alleges that Miller sold $764,000 worth of notes or “Letters of Protection” issued by a …
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16
Nov

UPDATE! GWG Renewable Secured Debentures Investigation

Arque Capital Ltd. And GWG Renewable Secured Debentures Have you invested in GWG Renewable Secured Debentures?  We have previously a number of blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors and brokerage firms who recommended that their clients invest in GWG debentures. FINRA recently brought at least its …
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13
Nov

UPDATE! Eric William Johnson and RedRidge Securities Investigation

Eric William Johnson and RedRidge Securities Have you lost money in Eric William Johnson from Hinsdale, Illinois?  Eric William Johnson was recently barred by FINRA, the Financial Industry Regulatory Authority, for stealing money from his customers’ accounts and depositing the money into his own personal accounts.  The Securities and Exchange Commission also brought an emergency …
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12
Nov

DAVID NEUMAN–Recipient of the 2014 PIABA Outstanding Service Award

Israels & Neuman, PLC is proud to announce that our managing partner, David P. Neuman, has received PIABA’s 2014 Outstanding Service Award.  See below news article from the Public Investors Arbitration Bar Association: October 24, 2014 (Norman, OK) PIABA Announces 2014 Outstanding Service Award Recipient At its Annual Meeting, David P. Neuman was named the recipient …
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7
Nov

WARNING! Impending Investigation–JOHN C. HANSON and NORTHWESTERN MUTUAL INVESTMENT SERVICES

John C. Hanson and Northwestern Mutual Investment Services Have you lost money with financial advisor John C. Hanson from Spokane, Washington?  We are currently investigating allegations made against Hanson by FINRA, the Financial Industry Regulatory Authority.  FINRA recently barred Hanson from the securities industry for failing to respond to an investigation.  FINRA began investigating John …
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6
Nov

WARNING! Impending Investigation–CLIFF DALY and AMERIPRISE FINANCIAL SERVICES

Radcliffe “Cliff” Daly and Ameriprise Financial Services Have you lost money with financial advisor Radcliffe “Cliff” Daly from Granger, Indiana?  We are currently investigating claims made against Daly by FINRA, the Financial Industry Regulatory Authority.  FINRA alleges that from May 2013 to November 2013, Cliff Daly mismarked a number of trades as being “unsolicited” (i.e., …
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