10.0David P Neuman
(720) 599-3505

Investigation of JERRY WELLS of MetLife – Rochester, NY

Tag Archives: exchange

06
Dec

Investigation of JERRY WELLS of MetLife – Rochester, NY

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Investigation of JERRY WELLS of MetLife – Rochester, NY

Jerry Wells, formerly with MetLife Securities, Suspended Two Months by FINRA   Have you lost money with financial advisor Jerry Wells from Rochester, New York?  We are currently investigating allegations made against Jerry M. Wells, who previously worked with MetLife Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Wells, making allegations ...

04
Dec

UPDATE! International Assets Advisory to Pay Restitution

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International Assets Advisory Settles with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with International Assets Advisory?  We are currently investigating allegations made against International Assets Advisory, an Orlando, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against International Assets Advisory, ...

19
Mar

Corinthian Partners Settles for Failure to Supervise VICTORIA VANDYKE

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Corinthian Partners Settles for Failure to Supervise VICTORIA VANDYKE

Have you lost money investing with Corinthian Partners in ETFs and ETNs?   We are looking into allegations made against Corinthian Partners, LLC., a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Corinthian Partners making allegations that it failed to supervise the sales of non-traditional ...

22
Oct

WARNING! Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

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WARNING!  Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

Christopher Herrmann from Greenwood, Indiana, Suspended by FINRA for Nine Months   Have you lost money with financial advisor Christopher Herrmann from Greenwood, Indiana?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Christopher Michael Herrmann. FINRA alleged that Christopher Herrmann made unsuitable recommendations to his customers to sell ...

26
Sep

Have You Lost Money with LINCOLN INVESTMENT? Call Us Now.

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Have You Lost Money with LINCOLN INVESTMENT?  Call Us Now.

Lincoln Investment Fined $35,000 for Variable Annuity Supervisory Failures   We are currently investigating allegations made against Lincoln Investment, a Fort Washington, Pennsylvania-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lincoln Investment, alleging that it failed to adequately supervise the exchange of variable annuities by its representatives.  FINRA ...

08
May

WARNING! Impending Investigation – FIFTH THIRD SECURITIES

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WARNING!  Impending Investigation – FIFTH THIRD SECURITIES

Fifth Third Securities Ordered to Pay $6 Million for Supervisory Failures Related to Variable Annuities   Fifth Third Securities, a securities brokerage firm based out of Cincinnati, Ohio, was recently fined $4 million dollars and ordered to pay another $2 million in restitution for numerous supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that ...

05
Mar

WARNING! Impending Investigation: THOMAS SCHOBER and SII Investments, Inc.

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WARNING!  Impending Investigation:  THOMAS SCHOBER and SII Investments, Inc.

Investigation of Thomas Schober and SII Investments, Inc.   Have you lost money with financial advisor Thomas Schober of Westborough, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas P. Schober. FINRA barred Schober from the securities industry concerning allegations that he recommended unsuitable variable annuity exchanges for two ...

10.0David P Neuman

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