10.0David P Neuman
(720) 599-3505

UPDATE! Mid Atlantic Capital Corporation Fined $100,000.00

Tag Archives: ETFs

07
Apr

UPDATE! Mid Atlantic Capital Corporation Fined $100,000.00

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UPDATE!  Mid Atlantic Capital Corporation Fined $100,000.00

Mid Atlantic Capital Corporation Fined $100,000 Over Failing to Supervise Walter Grenda, Timothy Dembski, and the Prestige Wealth Management Fund   Have you lost money with financial advisors Walter Grenda, Timothy Dembski and Reliance Financial Advisors from the Buffalo, New York area?  Dembski previously agreed to be barred from the securities industry by FINRA, the ...

31
Mar

WARNING! Impending Investigation: JOSEPH JACOBY, LEGEND SECURITIES, and ETFs

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WARNING!  Impending Investigation:  JOSEPH JACOBY, LEGEND SECURITIES, and ETFs

Joseph Jacoby, Legend Securities, and ETFs   Have you lost money with financial advisor Joseph L. Jacoby from Las Vegas, Nevada? We are investigating allegations made by the Utah Division of Securities against Joseph Jacoby.  Utah seeks to bar Jacoby from the securities industry after he engaged in unsuitable and aggressive trading, that he excessively ...

05
Feb

UPDATE! Walter Grenda, Timothy Dembski, and Prestige Wealth Management Fund

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UPDATE!  Walter Grenda, Timothy Dembski, and Prestige Wealth Management Fund

Walter Grenda, Timothy Dembski, and the Prestige Wealth Management Fund   Have you lost money with financial advisors Walter Grenda, Timothy Dembski and Reliance Financial Advisors from the Buffalo, New York area?  Dembski recently agreed to be barred from the securities industry by FINRA, the Financial Industry Regulatory Authority.   Walter Grenda and Timothy Dembski ...

26
Oct

LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES

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LOSSES WITH FINANCIAL ADVISOR, JASON FIGUEROA, GMS GROUP LLC, ETFs, and EXCHANGE TRADED NOTES

Impending Investigation:  Jason Figueroa, GMS Group LLC, ETFs, and Exchange Traded Notes   Have you lost money with financial advisor Jason L. Figueroa from Boca Raton, Florida? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jason Figueroa.  Figueroa was barred from the securities industry by FINRA after he used ...

01
Jul

WARNING! Impending Investigation: JEFFERY D. DAGGETT

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Jeffery D. Daggett, ETFs, and Exchange Traded Funds   Have you lost money with financial advisor Jeffery Daggett from Temecula, California? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Jeffery Daggett (also spelled Jeffrey Daggett).  FINRA alleged that Daggett bought and sold a number of non-traditional ETFs, also known ...

05
Jun

WARNING! Impending Investigation: MATT MABERRY, ETFs, and MUTUAL FUNDS

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Matt Maberry, ETFs, and Mutual Funds   Have you lost money with financial advisor Matt Maberry from Alton, Illinois? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Matt Maberry, and his supervisor Gregory H. Bray.  FINRA alleged that Maberry bought and sold a number of non-traditional ETFs, also known ...

26
May

WARNING! Impending Investigation: MARK A. SCHNEIDER and ETFs

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Mark A. Schneider and ETFs   Have you lost money with financial advisor Mark A. Schneider from Topeka, Kansas? We are investigating allegations made by the Kansas Securities Commission against Mark Schneider.  The Kansas Securities Commission alleged that Schneider bought and sold a number of non-traditional ETFs, also known as inverse and leveraged ETFs.  These ...

22
May

WARNING! Impending Investigation–BROKER DEALER FINANCIAL SERVICES CORP. and ETFs

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Broker Dealer Financial Services Corp. and ETFs   We are currently investigating allegations made against Broker Dealer Financial Services Corp., a West Des Moines, Iowa-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Broker Dealer Financial Services Corp., alleging that the firm did not adequately supervise the sales of ...

06
May

PRESS RELEASE: Israels & Neuman, PLC Continues its Investigation into LPL FINANCIAL – LPL Financial to pay $10M to Settle Allegations

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Israels & Neuman PLC Investigation Continues:  LPL FINANCIAL TO PAY $10 MILLION TO SETTLE ALLEGATIONS   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the ...

06
May

WARNING! Impending Investigation–LPL FINANCIAL, ETFs, and NON-TRADED REITs

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LPL Financial, ETFs, and Non-traded REITs   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the sales of non-traditional ETFs (inverse or leveraged ETFs), variable ...

10.0David P Neuman

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