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SCOTT KLOR of LPL Financial Suspended and Fined

Tag Archives: insurance

08
Apr

SCOTT KLOR of LPL Financial Suspended and Fined

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SCOTT KLOR of LPL Financial Suspended and Fined

Have you lost money with financial advisor Scott Klor of LPL Financial in life settlements (viaticals)?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Scott Klor.  FINRA alleged that Klor solicited investors to invest in a life settlement or viatical while registered at his brokerage firm, LPL Financial.   ...

17
Feb

Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

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Marvin Thomas White of Farmers Financial Solutions, Barred by FINRA

Have you lost money with financial advisor Marvin Tom White of Farmers Financial Solutions in Pegram, Tennessee?     We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Marvin Thomas White, Jr. FINRA barred “Tom” White from the securities industry after he failed to respond to a FINRA investigation.  FINRA ...

07
Feb

Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

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Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

Have you lost money with financial advisor Casey Walker of Lake Lotawana, Missouri?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Casey Wayne Walker. FINRA barred Walker from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Walker after he was terminated by ...

05
Feb

Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft

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Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft

Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft   Have you lost money investing with Dean Grant from Milledgeville, Georgia?  We are looking into allegations made against Dean Harrison Grant, formerly an advisor with M Holdings Securities.  Grant was charged by the Baldwin County Sheriff with insurance fraud and theft, according ...

25
Jan

INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA

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INVESTIGATION:  KRISTIAN GAUDET of Ameritas – Cut Off, LA

Kristian Gaudet, formerly with Ameritas Investment Corp., Barred by FINRA   Have you lost money with financial advisor Kristian Gaudet of Cut Off, Louisiana?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kristian M. Gaudet. FINRA barred Gaudet from the securities industry after he failed to respond to a ...

10
Sep

UPDATE! Jerry Raines and Donna Barnard BARRED – Kilgore, TX

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UPDATE!  Jerry Raines and Donna Barnard BARRED – Kilgore, TX

Jerry Raines and Donna Barnard, formerly with HD Vest, Barred from Securities Industry   Have you lost money investing in the Woodbridge Group of Companies through brokers Jerry Raines or Donna Barnard?  Our firm is investigating whether Jerry Raines and Donna Barnard from Kilgore, Texas sold investments in the Woodbridge Group of Companies to their ...

18
Jun

WARNING! Impending Investigation – RICHARD WESSELT

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WARNING!  Impending Investigation – RICHARD WESSELT

 Israels & Neuman, PLC Investigates Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company   Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are investigating allegations of former customers related to Richard Wesselt. Richard Wesselt’s BrokerCheck report, a public ...

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 ...

27
Mar

INVESTOR WARNING! Michael Hefner and FBL MARKETING SERVICES

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INVESTOR WARNING!  Michael Hefner and FBL MARKETING SERVICES

Michael Hefner, formerly with FBL Marketing Services, Barred from Securities Industry   Have you lost money with financial advisor Michael Hefner of Tulsa, Oklahoma?  We are investigating allegations made by the Oklahoma Department of Securities against Michael Winston Hefner. Oklahoma barred Hefner from the securities industry after he failed to respond to an investigation.  Hefner ...

15
Feb

WARNING! Impending Investigation: JERRY RAINES, DONNA BARNARD, and WOODBRIDGE

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WARNING!  Impending Investigation:  JERRY RAINES, DONNA BARNARD, and WOODBRIDGE

Jerry Raines, Donna Barnard, and Woodbridge   Have you lost money investing in the Woodbridge Group of Companies through broker Jerry Raines?  Our firm is investigating whether Jerry Raines and Donna Barnard from Kilgore, Texas sold investments in the Woodbridge Group of Companies to their customers.   Jerry Raines and Donna Barnard was a financial ...

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