Articles Posted in North Carolina

If you lost money with James Holmes of Wells Fargo in North Carolina, contact Israels & Neuman at 720-599-3505. Allegations Regarding James Eugene Holmes III FINRA brought an investigation into James Holmes of Wells Fargo in Winston-Salem, North Carolina regarding allegations that he engaged in an unsuitable options trading strategy with a client.  FINRA further…

Call Israels & Neuman at 720-599-3505 if you feel you lost money with Mark Allen Carter of Pruco Securities. Allegations Regarding Mark Carter’s Suspension FINRA has bought a regulatory action against Mark Carter, formerly with Pruco Securities in Charlotte, North Carolina.  FINRA alleged that he recommended that a couple engage in options trading that was…

According to FINRA’s BrokerCheck, Edward Hill of LPL Financial has been the subject of five customer complaints since 2023.  Each of the complaints involves structured notes.  Structured notes are financial instruments that are linked to an underlying index, stock, or currency.  While the notes purport to pay income to the note holder, the notes can…

Garrett Moretz with Lifemark Securities Charged by SEC MOORESVILLE, NORTH CAROLINA Did you lose money with financial advisor Garrett Moretz with Lifemark Securities in Mooresville, North Carolina? He was recently charged with fraud by the Securities and Exchange Commission (SEC). The SEC filed a complaint against this advisor, alleging that he repeatedly misrepresented the risks…

Jason Cook, with Berthel Fisher & Company, Subject of Three Complaints GRAHAM, NORTH CAROLINA Our securities arbitration law firm is looking into allegations made by customers of financial advisor Jason Cook, with Berthel Fisher & Company. Jason Cook, who worked in an office in Graham, North Carolina, has been the subject of three customer complaints,…