10.0David P Neuman
(720) 599-3505

ELIZABETH GUARINO of Wells Fargo Suspended – Woodbury, NY

Tag Archives: concentration

05
Nov

ELIZABETH GUARINO of Wells Fargo Suspended – Woodbury, NY

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ELIZABETH GUARINO of Wells Fargo Suspended – Woodbury, NY

Elizabeth Guarino, formerly with Wells Fargo, Suspended 15 Months   Have you lost money with financial advisor Elizabeth Ann Guarino of Woodbury, New York?  We are investigating allegations made against Elizabeth Ann Guarino.  According to the Financial Industry Regulatory Authority (FINRA), Guarino recommended at least 12 speculative investments in an elderly customer’s accounts.  The customer ...

08
Aug

WARNING! ELDRIDGE PARKS of Raymond James BARRED – Saginaw, MI

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WARNING! ELDRIDGE PARKS of Raymond James BARRED – Saginaw, MI

Eldridge Parks, previously with Raymond James & Associates, Barred by FINRA   Have you lost money with financial advisor Eldridge Parks?  We are investigating allegations made about Eldridge Foster Parks from Saginaw, Michigan.  FINRA (the Financial Industry Regulatory Authority) barred Parks from the securities industry after Parks failed to respond to its investigation.   FINRA was ...

22
Jun

MICHAEL KAMPERMAN of HD Vest in Waco, TX SUSPENDED

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MICHAEL KAMPERMAN of HD Vest in Waco, TX SUSPENDED

Michael Kamperman, formerly with HD Vest, Suspended 18 Months   Have you lost money with financial advisor Michael Kamperman of HD Vest in Waco, Texas?  The law firm of Israels & Neuman is investigating allegations made against Michael Allen Kamperman.  Kamperman was the subject of an investigation by FINRA, the Financial Industry Regulatory Authority.  FINRA ...

02
Jan

CUSTOMER COMPLAINTS Against MARK KREGOR of Hilliard Lyons

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CUSTOMER COMPLAINTS Against MARK KREGOR of Hilliard Lyons

Mark Kregor, with Hilliard Lyons, Subject of Eight Customer Complaints   Have you lost money with financial advisor Mark Kregor of Louisville, Kentucky?  We are investigating allegations made against Mark Fallon Kregor.  According to FINRA’s BrokerCheck, Kregor has been the subject of eight customer complaints, seven of which were filed within the last four years.  ...

26
Dec

INVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA

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INVESTIGATION:  WILLIAM COUNCIL of Raymond James – San Diego, CA

William Council, with Raymond James, Subject of Two Customer Complaints   Have you lost money with financial advisor William Council of San Diego, California?  We are investigating allegations made against William M. Council.  According to FINRA’s BrokerCheck, Council has been the subject of one customer complaint, alleging claims regarding over-concentration of stocks in one market ...

08
Dec

UPDATE! Christopher Ariola BARRED After Selling Unsuitable Gold and Energy Stocks

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UPDATE!  Christopher Ariola BARRED After Selling Unsuitable Gold and Energy Stocks

Update – Christopher Ariola Barred After Selling Unsuitable Gold and Energy Stocks   We are currently investigating allegations made against Christopher L. Ariola, a financial advisor from Santa Monica, California who previously worked with Bay Mutual Financial.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Ariola, making allegations that he made ...

26
Aug

INVESTOR WARNING! Christopher Ariola and Gold Energy Stocks

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INVESTOR WARNING!  Christopher Ariola and Gold Energy Stocks

WARNING!  Christopher Ariola and Gold and Energy Stocks   We are currently investigating allegations made against Christopher L. Ariola, a financial advisor from Santa Monica, California who previously worked with Bay Mutual Financial.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Ariola, making allegations that he made unsuitable concentrations with three ...

25
May

WARNING! INVESTOR ALERT: ANDREW YOCUM and MORGAN STANLEY

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WARNING!  INVESTOR ALERT:  ANDREW YOCUM and MORGAN STANLEY

Andrew Yocum and Morgan Stanley   Have you lost money with financial advisor Andrew Yocum of The Villages, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Andrew Todd Yocum. FINRA barred Yocum from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Yocum ...

10.0David P Neuman

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