10.0David P Neuman
(720) 599-3505

INVESTIGATION: SHLOMO STRUGANO – Reseda, CA

Tag Archives: forge

07
Jan

INVESTIGATION: SHLOMO STRUGANO – Reseda, CA

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INVESTIGATION:  SHLOMO STRUGANO – Reseda, CA

Shlomo Strugano, formerly with First Allied Securities, Barred from Securities Industry   Have you lost money with financial advisor Shlomo Strugano of Reseda, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Shlomo Strugano.  FINRA barred Strugano from the securities industry after he failed to respond to a FINRA investigation.  ...

11
Oct

WARNING! Investigation of MAUREEN SCALZO — Danbury, CT

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WARNING!  Investigation of MAUREEN SCALZO — Danbury, CT

Maureen Scalzo, formerly with Benjamin F. Edwards & Company, Barred from Securities Industry   Have you lost money with financial advisor Maureen Scalzo from Danbury, Connecticut?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Maureen Ann Scalzo. FINRA barred Scalzo from the securities industry after she failed to respond ...

03
Jul

TINA MARTINEZ of Farmers Financial Barred for FORGERY

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TINA MARTINEZ of Farmers Financial Barred for FORGERY

Tina Martinez, formerly with Farmers Financial Solutions, Barred from Securities Industry   Have you lost money with financial advisor Tina Martinez of Yakima, Washington?  The law firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Tina Marie Martinez. FINRA barred Martinez from the securities industry after she ...

02
Aug

INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD

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INVESTOR WARNING!  Investigation of FREDERICK HOLLOWAY of Easton, MD

Frederick Holloway, with Holloway & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Frederick Holloway of Easton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick David Holloway. FINRA was investigating Holloway regarding several allegations, including that: a) Holloway recommended the exchange of variable ...

04
Jun

WARNING! Impending Investigation: DONNELL BOWEN of Washington, DC

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WARNING!  Impending Investigation:  DONNELL BOWEN of Washington, DC

Donnell Bowen formerly with Northwestern Mutual Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Donnell Bowen, III of Washington, D.C.?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donnell Noah Bowen. FINRA barred Bowen from the securities industry after he failed to respond to ...

29
Nov

WARNING! Impending Investigation – PAULA HAROLD

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WARNING!  Impending Investigation – PAULA HAROLD

Paula Harold, formerly of PFS Investments, Suspended 18 Months from Securities Industry   Have you lost money with financial advisor Paula Harold of Ontario, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paula Louise Harold. FINRA suspended Harold from the securities industry for 18 months and fined $5,000 regarding ...

21
Aug

WARNING! Investigation of WILLIAM MERRIAM

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WARNING!  Investigation of WILLIAM MERRIAM

William Merriam, formerly of Merrill Lynch, Barred from Securities Industry   Have you lost money with financial advisor William Merriam of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William H. Merriam IV. FINRA barred Merriam from the securities industry after he failed to respond to a FINRA ...

24
Mar

WARNING! Impending Investigation: KENT SALCEDO and BANCWEST INVESTMENT SERVICES

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WARNING!  Impending Investigation:  KENT SALCEDO and BANCWEST INVESTMENT SERVICES

Kent Salcedo, formerly of BancWest Investment Services, Suspended by FINRA for Six Months   Have you lost money with representative Kent Salcedo of Honolulu, Hawaii?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kent Salcedo. FINRA alleged that Salcedo forged signatures on a number of customer documents, including suitability forms, ...

05
Nov

WARNING! Impending Investigation: JACOB LERMAN and UNIVEST INVESTMENTS INC.

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WARNING!  Impending Investigation:  JACOB LERMAN and UNIVEST INVESTMENTS INC.

Jacob Lerman and Univest Investments, Inc.   Have you lost money with financial advisor Jacob Lerman of Souderton, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jacob Lerman. FINRA barred Lerman from the securities industry after he was alleged to have forged the signature of a customer on an ...

10.0David P Neuman

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