10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: LEADERS GROUP in Littleton, CO

Tag Archives: Colorado Investment Fraud Attorneys

02
Jul

WARNING! Impending Investigation: LEADERS GROUP in Littleton, CO

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WARNING!  Impending Investigation:  LEADERS GROUP in Littleton, CO

The Leaders Group Fined $95,000 for Numerous Supervisory Failures   The Leaders Group, a securities brokerage firm based out of Littleton, Colorado, was recently fined $95,000 dollars for numerous supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between May 2012 and September 2014, The Leaders Group had several supervisory missteps, including: a) failed ...

17
May

UPDATE! CHRISTOPHER BURTRAW of Lakewood, CO BARRED

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UPDATE!  CHRISTOPHER BURTRAW of Lakewood, CO BARRED

Christopher Burtraw, formerly with J.P. Turner & Company, Barred by SEC   Have you lost money with financial advisor Christopher Burtraw of Lakewood, Colorado?  We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC).  The SEC alleged that Burtraw was convicted of criminal theft in January 2018 in Jefferson County, ...

07
Sep

WARNING! Impending Investigation – BRUCE BARBER

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WARNING!  Impending Investigation – BRUCE BARBER

Bruce Barber, formerly of Securities America, Inc., Barred from Securities Industry   Have you lost money with financial advisor Bruce Barber of Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Bruce P. Barber. FINRA barred Barber from the securities industry after he failed to respond to a ...

31
Aug

WARNING! Impending Investigation – ELAINE LaCERTE

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WARNING!  Impending Investigation – ELAINE LaCERTE

Elaine LaCerte, formerly of Morgan Stanley, Suspended from Securities Industry for Four Months   Have you lost money with financial advisor Elaine LaCerte of Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Elaine D. LaCerte. FINRA suspended LaCerte from the securities industry for six months and fined ...

29
Aug

WARNING! Impending Investigation: SONYA CAMARCO

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 Sonya Camarco Investments of Colorado Springs Sued By SEC Related to Theft   Have you lost money with financial advisor Sonya Camarco?  Our law firm has launched an independent investigation into allegations made by the Securities and Exchange Commission against Sonya Camarco. The SEC recently filed a complaint that alleges that she misappropriated over $2.8 ...

29
Jun

Investor Alert! MITCHELL BEHM – Denver, CO

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Investor Alert!  MITCHELL BEHM – Denver, CO

Mitchell Behm, from Denver, Colorado, Suspended Seven Months from Securities Industry by FINRA   Have you lost money with financial advisor Mitchell Behm of Denver, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mitchell G. Behm. FINRA recently suspended Mitchell Behm from the securities industry for seven months and ...

20
Dec

WARNING! Impending Investigation: KENNETH BALSER–Colorado Springs, CO

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WARNING!  Impending Investigation:  KENNETH BALSER–Colorado Springs, CO

Kenneth Balser, formerly of Cetera Advisors and LPL Financial, Barred by FINRA   Have you lost money with financial advisor Kenneth Balser of Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ken A. Balser. FINRA barred Balser after he failed to respond to an investigation regarding engaging ...

15
Aug

INVESTOR WARNING! Robert Heath of Highlands Ranch, Colorado

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INVESTOR WARNING!  Robert Heath of Highlands Ranch, Colorado

Robert Heath of Highlands Rach, Colorado   Have you lost money with financial advisor Robert Heath of Highlands Ranch and Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert E. Heath. FINRA was investigating Heath regarding allegations that he borrowed money from a customer, in violation of ...

11
Aug

INVESTIGATION NOTICE: Advisor David Gray of Denver, Colorado

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INVESTIGATION NOTICE:  Advisor David Gray of Denver, Colorado

INVESTIGATION NOTICE: Advisor David Gray of Denver, Colorado   Have you lost money with financial advisor David Gray of Denver, Colorado?  We are investigating allegations made by the Securities and Exchange Commission (SEC), against David R. Gray II. The SEC was investigating allegations that Gray stole money from an elderly customer.   According to the ...

25
Jul

WARNING! Impending Investigation: LINDA DOWD and WFG INVESTMENTS

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WARNING!  Impending Investigation:  LINDA DOWD and WFG INVESTMENTS

Linda Dowd and WFG Investments   Have you lost money with financial advisor Linda Dowd of Boulder, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Linda Dowd. FINRA alleged that Dowd had her customer in New Mexico sign blank account distribution forms to effectuate future verbal requests to make ...

10.0David P Neuman

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