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MICHAEL LESSARD of Southeast Investments BARRED

Tag Archives: Investment fraud attorneys

10
Apr

MICHAEL LESSARD of Southeast Investments BARRED

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MICHAEL LESSARD of Southeast Investments BARRED

Have you lost money with financial advisor Michael Lessard of Southeast Investments in Charlotte, North Carolina?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Lessard FINRA barred Lessard from the securities industry regarding allegations that he borrowed money from two customers, which generally is not allowed in ...

09
Apr

Financial Advisor JAMES BYLENGA of Michigan BARRED

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Financial Advisor JAMES BYLENGA of Michigan BARRED

Have you lost money with financial advisor James Bylenga of Portage, Michigan?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against James C. Bylenga. FINRA barred Bylenga from the securities industry after he failed to respond to an investigation.  FINRA was investigating Bylenga regarding allegations that he borrowed money ...

04
Apr

GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

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GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

Have you invested with George Merhoff of Cetera Advisors in Oregon?   George Merhoff was fired by Cetera Advisors in April 2019.  Merhoff, who worked in the Klamath Falls, Oregon office, was terminated regarding allegations that he made undisclosed payments to a customer.   This is no surprise, since Merhoff has been the subject of ...

02
Apr

BRADLEY LATTING of State Farm VP Management BARRED

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BRADLEY LATTING of State Farm VP Management BARRED

Have you lost money with financial advisor Bradley Latting of Lawton, Oklahoma?    We are continuing our investigation into allegations by the Financial Industry Regulatory Authority (FINRA) against Bradley Allen Latting.  Latting was barred from the securities industry by FINRA for failing to respond to an investigation.  FINRA was investigating Latting for allegedly converting or ...

01
Apr

INVESTIGATION of Jack Howley of Park Avenue Securities

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INVESTIGATION of Jack Howley of Park Avenue Securities

 Have you lost money with financial advisor John “Jack” Howley of Park Avenue Securities in Rumson, NJ?   The law firm of Israels & Neuman is investigating allegations of former customers related to Jack Howley, who worked in Park Avenue Securities offices in Rumson, New Jersey. John Howley’s CRD report, a public record maintained by ...

27
Mar

OSCAR FRANCIS of MML Investors GUILTY of Mahum, Inc. FRAUD

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OSCAR FRANCIS of MML Investors GUILTY of Mahum, Inc. FRAUD

Have you lost money with financial advisor Oscar Francis of MML Investors or Mahum, Inc. in Fort Lauderdale, Florida?    We are investigating allegations made by the Securities and Exchange Commission (SEC) against Oscar Francis.  The SEC alleged that Oscar Francis misappropriated funds, while affiliated with MML Investor Services, in a fraudulent investment called Mahum, ...

08
Mar

PARKLAND SECURITIES Settles with FINRA Over Sales of ETFs

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PARKLAND SECURITIES Settles with FINRA Over Sales of ETFs

Have you lost money investing in ETFs (Exchange Traded Funds) with Parkland Securities?   We are looking into allegations made against Parkland Securities, LLC., an Ann Arbor, Michigan-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Parkland Securities, making allegations that it failed to supervise the sales of non-traditional ...

08
Mar

Sigma Financial Settles with FINRA Over Sales of Inverse and Leveraged ETFs

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Sigma Financial Settles with FINRA Over Sales of Inverse and Leveraged ETFs

Have you lost money investing in ETFs with Sigma Financial Corp.?   We are currently investigating allegations made against Sigma Financial Corp., Inc., an Ann Arbor, Michigan-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Sigma Financial Corp., making allegations that it failed to supervise the sales of non-traditional ...

07
Mar

INVESTIGATION of THOMAS VON RECKERS of Wells Fargo

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INVESTIGATION of THOMAS VON RECKERS of Wells Fargo

 Have you lost money with financial advisor Thomas Von Reckers formerly of Wells Fargo?    Israels & Neuman is investigating allegations of former customers related to Thomas Von Reckers, who has worked in Wells Fargo offices in Denver and Lakewood, Colorado. Thomas Reckers’ CRD report, a public record maintained by FINRA, states that Reckers has ...

02
Mar

LON FACCINI of Cape Securities Subject of COMPLAINTS and Lawsuits

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LON FACCINI of Cape Securities Subject of COMPLAINTS and Lawsuits

 Have you lost money with financial advisor Lon C. Faccini, Jr. of Cape Securities?   We are investigating allegations of former customers related to Lon Faccini. Lon Faccini’s CRD report, a public record maintained by FINRA, states that Faccini has been the subject of six customer complaints and FINRA arbitration lawsuits.  The customers claim Faccini ...

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