10.0David P Neuman
(720) 599-3505

INVESTOR ALERT! U.S. Boston Capital FINED $125,000

Tag Archives: fine

10
Jun

INVESTOR ALERT! U.S. Boston Capital FINED $125,000

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INVESTOR ALERT! U.S. Boston Capital FINED $125,000

U.S. Boston Capital Fined $125,000 for Supervisory Failures   U.S. Boston Capital Corporation, a securities brokerage firm based out of Lincoln, Massachusetts, was recently fined $125,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between January 2015 to December 2017, U.S. Boston Capital had supervisory missteps, including that it failed to adequately ...

10
Jul

INVESTOR ALERT! Investigation of ALEX ANDERSON and CETERA FINANCIAL

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INVESTOR ALERT!  Investigation of ALEX ANDERSON and CETERA FINANCIAL

Cetera Financial Specialists Settles with FINRA Regarding  Failure to Supervise Alex P. Anderson   We are currently investigating allegations made against Cetera Financial Specialists, LLC, a Schaumburg, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Cetera Financial Specialists, making allegations that it failed to supervise outside business activities ...

10
Jul

INVESTOR ALERT! M Holdings Securities of Portland, OR

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INVESTOR ALERT!  M Holdings Securities of Portland, OR

M Holdings Securities Fined $135,000 for Supervisory Failures   M Holdings Securities, a securities brokerage firm based out of Portland, Oregon, was recently fined $135,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between December 2013 and June 2015, M Holdings Securities had supervisory missteps, including that it: a) failed to adequately ...

29
Dec

What You Can Do to Recover Money Losses from Citigroup Global Markets

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What You Can Do to Recover Money Losses from Citigroup Global Markets

Citigroup Global Markets Fined $5.5 Million by FINRA   In December 2017, FINRA (the Financial Industry Regulatory Authority) fined Citigroup Global Markets $5.5 million, regarding allegations that Citigroup displayed inaccurate research ratings.  In a regulatory action, FINRA alleged that Citigroup put research ratings regarding 1,800 securities on numerous places, including customer statements, emails, and on ...

06
Oct

UBS FINANCIAL SERVICES ORDERED TO PAY OVER $15 MILLION BY SEC

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UBS FINANCIAL SERVICES ORDERED TO PAY OVER $15 MILLION BY SEC

UBS Financial Services Ordered to Pay Over $15 Million by SEC for Reverse Convertible Notes   Have you lost money with UBS Financial Services investing in reverse convertible notes?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against UBS Financial Services.  The SEC filed a regulatory action against UBS, alleging that ...

14
Apr

UPDATE! Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner

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UPDATE!  Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner

Investigation of Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner   Have you lost money with financial advisor Leonard A. Goldberg from Palm Springs, California?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Goldberg. FINRA alleged that Leonard Goldberg made unsuitable recommendations to his customers to switch ...

01
Sep

WARNING! Impending Investigation: LEONARD A. GOLDBERG, NEWPORT COAST SECURITIES, and J.P. TURNER

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Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner Have you lost money with financial advisor Leonard A. Goldberg from Palm Springs, California?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Goldberg. FINRA alleged that Leonard Goldberg made unsuitable recommendations to his customers to switch from one mutual ...

03
Apr

WARNING! Impending Investigation–DOUGLAS J. DANNHARDT and PROSPERA FINANCIAL SERVICES INC.

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Douglas J. Dannhardt and Prospera Financial Services Inc. Have you lost money with financial advisor Douglas J. Dannhardt from Dallas, Texas?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Dannhardt. FINRA alleged that Douglas Dannhardt made unsuitable recommendations to his customers to switch from one mutual fund to ...

29
Oct

WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

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Randy L. Leslie, Edward Jones, and LPL Financial Have you lost money with financial advisor Randy L. Leslie from Golden, Colorado?  We are investigating allegations made against Mr. Leslie.  Randy Leslie was recently fined $7,000 by the Oregon Division of Finance and Corporate Securities.  Mr. Leslie was investigated by Oregon because he failed to disclose ...

10.0David P Neuman

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