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Michael Carter of Foresters Equity SUSPENDED

Tag Archives: contingency fee

28
May

Michael Carter of Foresters Equity SUSPENDED

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Michael Carter of Foresters Equity SUSPENDED

Michael Carter, formerly with Foresters Equity Services, Suspended from Securities Industry   Have you lost money with financial advisor Michael Carter of Foresters Equity in Henderson, Nevada?  The law firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael Lester Carter. FINRA suspended Carter from the ...

16
May

UPDATE! MARK HOPKINS of American Portfolios BARRED

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UPDATE!  MARK HOPKINS of American Portfolios BARRED

Have you lost money investing with Mark Hopkins of American Portfolios Financial Services in Grand Blanc, Michigan?    We are continuing to look into allegations made against Mark Hopkins, a former advisor with American Portfolios Financial Services.  Hopkins was barred from the securities industry by FINRA, after he failed to respond to their investigation into ...

14
May

Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

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Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

Robert Lindell from Frankfort, Maine, Barred from Securities Industry   Have you lost money with financial advisor Robert Kenneth Lindell, formerly of Frankfort, Maine?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Robert Lindell.  The SEC barred Lindell from the securities industry after he was found guilty of securities fraud, ...

12
May

INVESTOR ALERT: Harold Couglar of San Diego BARRED

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INVESTOR ALERT:  Harold Couglar of San Diego BARRED

Have you lost money with financial advisor Harold Couglar of Montage Securities in San Diego, California?    We are investigating allegations made by the Oregon Division of Financial Regulation against Harold F. Couglar. Oregon barred Couglar from the securities industry.  Oregon was investigating Couglar regarding allegations that he opened discretionary trading accounts at an outside ...

11
May

RICHARD JONES of NYLife Securities BARRED by Iowa

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RICHARD JONES of NYLife Securities BARRED by Iowa

Have you lost money with financial advisor Richard Jones of NYLife Securities in Pilot Mound, Iowa?    We are investigating allegations made by Iowa Insurance Division against Richard Michael Jones of NYLife Securities.  Iowa alleged that Jones was the subject of a 2016 customer complaint alleging misrepresentations and omissions regarding a variable annuity in Pilot ...

16
Apr

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

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UPDATE!  JAMES SCHWARTZ of Aegis Capital is BARRED

Have you lost money with financial advisor James B. Schwartz in New York?    We are continuing to look into allegations made about James Bradley Schwartz from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Schwartz from the securities industry.   FINRA previously brought a complaint against Schwartz in February 2019.  FINRA was ...

15
Apr

WARNING! Investigation of SYLVESTER KNOX of Merrill Lynch

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WARNING!  Investigation of SYLVESTER KNOX of Merrill Lynch

Israels & Neuman, PLC Investigates Sylvester Knox, Formerly of Merrill Lynch   Have you lost money with financial advisor Sylvester Knox (CRD# 1625705), formerly of Merrill Lynch, in Short Hills, New Jersey?  We are investigating allegations of former customers related to Sylvester Knox. Sylvester Knox’s CRD report, a public record maintained by FINRA, states that ...

14
Apr

FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

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FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

Have you lost money with financial advisor Furman Ford of NYLife Securities in Raleigh, North Carolina?    The law firm of Israels & Neuman looking into allegations made by the US Attorney for the Eastern District of North Carolina against Furman Alexander Ford. Ford was arrested and charged with eleven counts of mail and wire ...

11
Apr

Advisor, THOMAS LAWS of Silver City, NM is now BARRED

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Advisor, THOMAS LAWS of Silver City, NM is now BARRED

Have you lost money with financial advisor Thomas Laws of Silver City, New Mexico?    We are continuing to look into allegations made against Thomas   Laws.  FINRA (the Financial Industry Regulatory Authority) began an investigation in Thomas Laws regarding allegations that he engaged in outside business activities or private securities transactions without notifying his brokerage ...

10
Apr

MICHAEL LESSARD of Southeast Investments BARRED

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MICHAEL LESSARD of Southeast Investments BARRED

Have you lost money with financial advisor Michael Lessard of Southeast Investments in Charlotte, North Carolina?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Lessard FINRA barred Lessard from the securities industry regarding allegations that he borrowed money from two customers, which generally is not allowed in ...

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