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Advisor ANSELMO CONTRERAS Barred by FINRA – Angleton, TX

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01
May

Advisor ANSELMO CONTRERAS Barred by FINRA – Angleton, TX

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Advisor ANSELMO CONTRERAS Barred by FINRA – Angleton, TX

Have you lost money with financial advisor Anselmo Contreras from Angleton, Texas?    The law firm of Israels & Neuman is currently investigating allegations made against Anselmo Contreras, Jr., who previously worked with Cambridge Investment Research.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Contreras, alleging that he converted or misappropriated ...

13
Apr

INVESTOR ALERT! BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

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INVESTOR ALERT!  BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

Have you lost money investing with Benjamin Bourgeois of Metairie, Louisiana?   We are looking into allegations made against Benjamin Bourgeois, formerly an advisor with Commonwealth Financial Network.  Bourgeois was arrested and charged with theft, bank fraud, and exploitation of the inform, according to KALB.    He was alleged to have stolen money from an elderly ...

22
Feb

BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

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BRUCE WORTHINGTON of Commonwealth Financial Sued by Securities Division

Bruce Worthington, of Commonwealth Financial Network, Sued by Massachusetts Securities Division   Have you lost money with financial advisor Bruce Worthington of Middleton, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division against Bruce C. Worthington, a former advisor at Commonwealth Financial Network and Founders Financial Securities.   Massachusetts alleged that Worthington stole ...

17
Feb

Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

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Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

Have you lost money with financial advisor Floyd Powell from Albertville, Alabama?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Floyd E. Powell. FINRA barred Powell from the securities industry.  Powell was being investigated regarding allegations that he sold $3.5 million in investments in the Woodbridge Group of Companies. ...

18
Jan

UPDATE! JAY WEISER of DesPain Financial Barred – Earlville, IL

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UPDATE!  JAY WEISER of DesPain Financial Barred – Earlville, IL

Jay Weiser, formerly with DesPain Financial Corp., Barred by FINRA   Have you lost money with financial advisor Jay Weiser from Earlville, Illinois investing in Woodbridge?  We are looking into allegations made FINRA (the Financial Industry Regulatory Authority) against Jay R. Weiser.  Weiser was barred from the securities industry by FINRA after he failed to ...

07
Jan

Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

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Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

Attorney David Neuman Is Quoted Again Regarding Non-Attorney Representatives   Attorney David Neuman was recently quoted again on the issue of non-attorney representatives (or NARs) in FINRA arbitration.  In late 2018, FINRA submitted a rule proposal to the SEC, which seeks to bar compensated NARs in its forum.   In a recent article written by ...

04
Jan

GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

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GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

Gary Pevey, Terminated from Mutual Securities and Suspended One Year from Securities Industry   Have you lost money with financial advisor Gary Pevey from Sacramento, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gary L. Pevey. FINRA suspended Pevey from the securities industry for one year, ordered him ...

27
Dec

ALLEGATIONS Against STEPHEN CARBONELLA of LPL Financial

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ALLEGATIONS Against STEPHEN CARBONELLA of LPL Financial

Stephen Carbonella, formerly with LPL Financial, Barred by SEC   Have you lost money with financial advisor Stephen Carbonella of East Haven, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Stephen T. Carbonella.  The SEC alleged that Stephen Carbonella misappropriated funds while employed with Webster Bank Corporation, primarily by ...

14
Dec

CHRISTOPHER HELLMAN Customer Complaints – Boca Raton, FL

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CHRISTOPHER HELLMAN Customer Complaints – Boca Raton, FL

Christopher Hellman, formerly with FMSbonds and Merrill Lynch, Barred from Securities Industry   Have you lost money with financial advisor Christopher Hellman of Boca Raton, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher Charles Hellman. FINRA barred Chris Hellman from the securities industry after he failed to respond ...

04
Dec

Oberweis Securities Advisor Accused of “BORROWING” Client Money

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Oberweis Securities Advisor Accused of “BORROWING” Client Money

Ralph Von Lutzow, formerly with Oberweis Securities, Barred from Securities Industry   –Sarasota, FL   Have you lost money with financial advisor Ralph Von Lutzow of Sarasota, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ralph Richard Von Lutzow. FINRA barred Ralph Von Lutzow from the securities industry regarding ...

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