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UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

Tag Archives: investor alert

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 ...

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.   ...

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 ...

28
Mar

FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme: How to Recover Money

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FUTURE INCOME PAYMENTS (FIP) Ponzi Scheme:  How to Recover Money

Have you lost money investing in Future Income Payments (FIP Investments)?   The U.S. Attorneys’ Office for the District of South Carolina filed a criminal indictment against the Future Income Payments (FIP Investments) and its founder, Scott Kohn.  The indictment alleges that over $300 million was raised for Future Income Payments, which were purported to be ...

25
Mar

DENNIS HAYES Barred from Securities Industry – Charlotte, NC

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DENNIS HAYES Barred from Securities Industry – Charlotte, NC

Have You Lost Money With Dennis Hayes of Newbridge Securities and Salomon Whitney in Charlotte, NC?   We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. In January 2019, FINRA was investigating Dennis Hayes after he was alleged to have engaged in private securities transactions without ...

15
Mar

UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

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UPDATE!  TYLER WOODWARD of MML Investors Barred by FINRA

  Have you invested with financial advisor Tyler Woodward of MML Investors Services in Colorado Springs, Colorado?   We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Tyler James Woodward. In March 2019, FINRA barred Woodward from the securities industry after he failed to respond to a FINRA ...

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 ...

06
Mar

INVESTIGATION: Complaints Against REGAN ROHL of Wells Fargo

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INVESTIGATION:  Complaints Against REGAN ROHL of Wells Fargo

 Have you lost money with financial advisor Regan Allen Rohl of Wells Fargo in Fargo, ND?   Israels & Neuman law firm is investigating allegations of former customers related to Regan Rohl, who worked in Wells Fargo offices in Fargo, North Dakota. Regan Rohl’s CRD report, a public record maintained by FINRA, states that Rohl ...

01
Mar

INVESTIGATION of JONATHAN PYNE of Berthel Fisher & Co.

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INVESTIGATION of JONATHAN PYNE of Berthel Fisher & Co.

 Have you lost money with financial advisor Jonathan Pyne (CRD# 2580510), of Berthel Fisher & Company, in Minneapolis, Minnesota?   We are investigating allegations of former customers related to Jonathan Pyne of Berthel Fisher.  Jonathan Pyne’s CRD report, a public record maintained by FINRA, states that Pyne has been the subject of six customer complaints. ...

26
Feb

INVESTIGATION of DIANE MADDOX Complaints

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INVESTIGATION of DIANE MADDOX Complaints

Have you lost money with financial advisor Diane Maddox of Investors Capital and Cetera Advisors?    We are investigating allegations made against Diane Maddox of Derry and Salem, New Hampshire, who was recently the subject of a complaint made by the New Hampshire Securities Bureau.  New Hampshire alleged that Maddox recommended that a couple purchase ...

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