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

Tag Archives: Investment fraud attorneys

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 ...

14
May

Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

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Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

Robert Lindell from Frankfort, Maine, Barred from Securities Industry   Have you lost money with financial advisor Robert Kenneth Lindell, formerly of Frankfort, Maine?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Robert Lindell.  The SEC barred Lindell from the securities industry after he was found guilty of securities fraud, ...

11
May

RICHARD JONES of NYLife Securities BARRED by Iowa

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RICHARD JONES of NYLife Securities BARRED by Iowa

Have you lost money with financial advisor Richard Jones of NYLife Securities in Pilot Mound, Iowa?    We are investigating allegations made by Iowa Insurance Division against Richard Michael Jones of NYLife Securities.  Iowa alleged that Jones was the subject of a 2016 customer complaint alleging misrepresentations and omissions regarding a variable annuity in Pilot ...

20
Apr

ZIV OHEL of Ameriprise Financial the Subject of Michigan Order

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ZIV OHEL of Ameriprise Financial the Subject of Michigan Order

Ziv Ohel, with Ameriprise Financial Services the Subject of Michigan Order   Have you lost money with financial advisor Ziv Ohel of Ameriprise Financial in Deerfield, Illinois?  We are looking into allegations made by the Michigan Corporations, Securities & Commercial Licensing Bureau against Ziv Ohel.  Michigan and Ohel reached an agreement where Ohel withdrew his ...

14
Apr

FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

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FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

Have you lost money with financial advisor Furman Ford of NYLife Securities in Raleigh, North Carolina?    The law firm of Israels & Neuman looking into allegations made by the US Attorney for the Eastern District of North Carolina against Furman Alexander Ford. Ford was arrested and charged with eleven counts of mail and wire ...

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 ...

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