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KALOS CAPITAL and DARREN KUBIAK Fined by FINRA

Tag Archives: Investment

10
Sep

KALOS CAPITAL and DARREN KUBIAK Fined by FINRA

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KALOS CAPITAL and DARREN KUBIAK Fined by FINRA

Kalos Capital and Darren Kubiak Settle with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with Kalos Capital and Darren Kubiak?  We are currently investigating allegations made against Kalos Capital, Inc., an Alpharetta, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action ...

10
Sep

UPDATE on JACK HOWLEY of Park Avenue Securities – Rumson, NJ

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UPDATE on JACK HOWLEY of Park Avenue Securities – Rumson, NJ

 UPDATE!  Jack Howley, formerly with Park Avenue Securities, Barred from Securities Industry   Have you lost money with financial advisor John C.  Howley also known as “Jack Howley” (CRD# 2229244) formerly of Park Avenue Securities?  We are continuing to investigate allegations of former customers related to Jack C. Howley, who has worked in offices in ...

10
Sep

VICTIM INFO: Losses with MICHAEL BARRY CARTER of McLean, VA

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VICTIM INFO:  Losses with MICHAEL BARRY CARTER of McLean, VA

Michael Barry Carter, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Michael Barry Carter from McLean, Virginia?  The Law Firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael Barry Carter also known as Mike Carter. FINRA barred ...

06
Sep

WARNING! Investigation of ELIAS HERBERT HAFEN – New York, NY

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WARNING!  Investigation of ELIAS HERBERT HAFEN – New York, NY

Elias Herbert Hafen, formerly with Morgan Stanley and Wells Fargo, Subject of SEC Complaint   Have you lost money with financial advisor Elias Herbert Hafen, formerly of New York, New York?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Elias Herbert Hafen.  The SEC alleged that Hafen stole about $1.6 ...

28
Aug

WARNING! Investigation of MARCUS BOGGS – Chicago, IL

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WARNING!  Investigation of MARCUS BOGGS – Chicago, IL

Marcus Boggs of Merrill Lynch in  Chicago, Illinois, Subject of SEC Complaint   Have you lost money with financial advisor Marcus Boggs of Merrill Lynch in Chicago, Illinois?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Marcus Boggs.  The SEC alleged that Boggs stole $1.7 million out of his customers’ ...

26
Aug

HOW TO RECOVER INVESTMENT LOSSES IN THE RAIT FINANCIAL REITs

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HOW TO RECOVER INVESTMENT LOSSES IN THE RAIT FINANCIAL REITs

How to Recover Investment Losses in the RAIT Financial REITs   Have you lost money investing in the RAIT Group of Companies?  Our law firm is investigating the recent bankruptcy filing by RAIT Financial Trust.  RAIT is an internally-managed REIT (or real estate investment trust) with assets over $1.5 billion, according to RAIT’s website.   ...

26
Aug

LOSSES with Royal Alliance Associates and GOLD & SILVER Coins – Prescott, AZ

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LOSSES with Royal Alliance Associates and GOLD & SILVER Coins – Prescott, AZ

Charles Taylor, Jodi Padgett, and John Farmer with Royal Alliance Associates, Fined for Referring Customers to Buy Gold and Silver Coins – Prescott, AZ   Have you lost money with financial advisor Charles Taylor, Jodi Padgett, and John Farmer in Prescott, Arizona?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against ...

23
Aug

INVESTOR ALERT! Van Clemens & Co. and EXCESSIVE TRADING – Minneapolis, MN

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INVESTOR ALERT! Van Clemens & Co. and EXCESSIVE TRADING – Minneapolis, MN

Van Clemens & Co. Settles with FINRA Over Supervision of Excessive Trading   Have you lost money investing with Van Clemens & Co.?  We are looking into allegations made against Van Clemens & Co., LLC., a Minneapolis, Minnesota-based securities brokerage firm as well as their advisor, Peter Monson. FINRA (the Financial Industry Regulatory Authority) brought ...

15
Aug

ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

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ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

Roger Owens, formerly with Cetera Advisors, Suspended from Securities Industry   Have you lost money with financial advisor Roger Owens from Elkton, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Roger L. Owens. FINRA suspended Owens from the securities industry for twelve months, fined him $10,000, and ordered ...

15
Aug

SCAM ALERT! RICHARD DUNCAN of Longmeadow, MA

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SCAM ALERT!  RICHARD DUNCAN of Longmeadow, MA

Richard Duncan from East Longmeadow, Massachusetts, Subject of SEC Investigation   Have you lost money with financial advisor Richard Guy Duncan, formerly of East Longmeadow, Massachusetts?  The Law Firm of Israels & Neuman is  investigating allegations made by the Securities and Exchange Commission (SEC) against Richard or “Rick” Duncan.  The SEC alleged that Duncan raised ...

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