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UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

Tag Archives: Investment Fraud

16
Apr

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

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UPDATE!  JAMES SCHWARTZ of Aegis Capital is BARRED

Have you lost money with financial advisor James B. Schwartz in New York?    We are continuing to look into allegations made about James Bradley Schwartz from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Schwartz from the securities industry.   FINRA previously brought a complaint against Schwartz in February 2019.  FINRA was ...

13
Apr

INVESTOR ALERT! BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

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INVESTOR ALERT!  BENJAMIN BOURGEOIS of Metairie, LA ARRESTED

Have you lost money investing with Benjamin Bourgeois of Metairie, Louisiana?   We are looking into allegations made against Benjamin Bourgeois, formerly an advisor with Commonwealth Financial Network.  Bourgeois was arrested and charged with theft, bank fraud, and exploitation of the inform, according to KALB.    He was alleged to have stolen money from an elderly ...

12
Apr

Advisor BRIAN STEPHAN of LPL Financial SUSPENDED

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Advisor BRIAN STEPHAN of LPL Financial SUSPENDED

Have you lost money with financial advisor Brian Stephan of LPL Financial in Xenia, Ohio?   We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Brian L. Stephan. FINRA suspended Stephan from the securities industry for 8 months, ordered him to pay restitution of $29,400, and fined him $10,000.  Stephan ...

11
Apr

Advisor, THOMAS LAWS of Silver City, NM is now BARRED

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Advisor, THOMAS LAWS of Silver City, NM is now BARRED

Have you lost money with financial advisor Thomas Laws of Silver City, New Mexico?    We are continuing to look into allegations made against Thomas   Laws.  FINRA (the Financial Industry Regulatory Authority) began an investigation in Thomas Laws regarding allegations that he engaged in outside business activities or private securities transactions without notifying his brokerage ...

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 ...

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.   ...

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 ...

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, ...

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