William Horak, with Purshe Kaplan Sterling, Subject of GWG Complaints TALLAHASSEE, FLORIDA Have you invested in GWG L bonds or the ARC Hospitality Trust through Purshe Kaplan Sterling? Our securities arbitration law firm is looking into claims made against William Horak who has been with Purshe Kaplan Sterling since May 2014. William Horak has been…
Continue reading ›Abbe Wollins, Formerly of David Lerner Associates, Suspended by FINRA BOCA RATON, FLORIDA Did you invest in oil and gas investments with financial advisor Abbe Wollins, formerly with David Lerner Associates in Boca Raton, Florida? Our law firm is looking into claims made by FINRA against Abbe Wollins. FINRA has suspended Wollins from the securities…
Continue reading ›CLEARWATER, FLORIDA Have you lost money with financial advisor Tarek Mohamed of Clearwater, Florida? Our law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Tarek Mohamed. FINRA filed a complaint against Mohamed, alleging that he failed to respond to an investigation. The complaint against Mohamed alleges that clients funds were…
Continue reading ›TAMPA, FLORIDA Have you lost money with financial advisor Michael Nixon, formerly with Paulson Investment Company in Tampa, Florida? We are looking into allegations made against Michael P. Nixon. Nixon has been the subject of an investigation by FINRA. FINRA investigated Nixon regarding allegations that he sold unsuitable investments in Steepener Notes. FINRA alleged that…
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WEST PALM BEACH, FLORIDA Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to…
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CORAL SPRINGS, FLORIDA Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida? We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021. PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities transactions.…
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GAINESVILLE, FLORIDA Have you lost money with financial advisor Roderick Whited, formerly with Northwestern Mutual in Gainesville, Florida? We are looking into allegations made against Roderick Whited. Whited was barred from the securities industry by FINRA after he was alleged to have misappropriated funds from a charitable event that he organized. White has since repaid…
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MIAMI, FLORIDA Have you lost money with financial advisor Lina Garcia of Miami, Florida? We are looking into allegations made by the Securities and Exchange Commission (SEC) against Lina Maria Garcia. The SEC alleged that Garcia and her firm, UCB Financial Advisors, allocated profitable trades to themselves while allocating unprofitable trades to clients. Ramiro Sugranes…
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FORT LAUDERDALE, FLORIDA Have you lost money with financial advisor John Orlando, formerly with Westpark Capital and now with SW Financial in Fort Lauderdale, Florida? We are looking into allegations made against John Anthony Orlando. Orlando has been the subject of six customer complaints, four of which were made within the last two years. The…
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WINTER HAVEN, FLORIDA Have you lost money with financial advisor Brian Pearce, formerly of FSC Securities Corp. in Winter Haven, Florida? We are looking into allegations made against Brian S. Pearce. FINRA suspended Pearce for seven months, fined him $5,000, and ordered $9,723 in disgorgement. FINRA was investigating Pearce regarding allegations that he sold investments…
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