10
SepKALOS 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
SepUPDATE! JACK DAVID STONE of Forest Securities BARRED – Hillside, IL
Jack David Stone, previously with Forest Securities, Barred by FINRA Have you lost money with financial advisor Jack David Stone? We are investigating allegations made about Jack David Stone from Hillside, Illinois. FINRA (the Financial Industry Regulatory Authority) barred Stone from the securities industry after Stone failed to respond to its investigation. FINRA was ...
10
SepUPDATE 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
SepVICTIM 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 ...
10
SepAdvisor APOSTOLOS PITSIRONIS of Melville, NY BARRED
Apostolos Pitsironis, previously with Janney Montgomery Scott, Barred by FINRA Have you lost money with financial advisor Apostolos Pitsironis? We are investigating allegations made about Apostolos N. Pitsironis from Melville, New York. FINRA (the Financial Industry Regulatory Authority) barred Pitsironis from the securities industry after Pitsironis regarding allegations that he converted over $411,000 from ...
06
SepWARNING! 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 ...
05
SepWARNING! Investigation of STEFAN PASTOR – Fort Lauderdale, FL
Stefan Wayne Pastor, previously with Raymond James Financial Services, Barred by FINRA Have you lost money with financial advisor Stefan Pastor? The Law Firm of Israels & Neuman is investigating allegations made about Stefan A. Pastor from Fort Lauderdale, Florida. FINRA (the Financial Industry Regulatory Authority) barred Pastor from the securities industry after Pastor ...
03
SepGERALD BRODSKY of Dinosaur Financial BARRED – New York, NY
Gerald Brodsky, previously with Dinosaur Financial Group, Barred by FINRA Have you lost money with financial advisor Gerald Brodsky? We are investigating allegations made about Gerald Lee Brodsky from New York, New York. FINRA (the Financial Industry Regulatory Authority) barred Brodsky from the securities industry after Brodsky failed to fully respond to its investigation. ...
28
AugWARNING! 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’ ...
28
AugCRAIG ZABALA of Loofbourrow Associates BARRED – New York, NY
Craig Zabala, previously with John W. Loofbourrow Associates, Barred by FINRA Have you lost money with financial advisor Craig Zabala? We are investigating allegations made about Craig A. Zabala of New York, New York. FINRA (the Financial Industry Regulatory Authority) barred Zabala from the securities industry after Zabala failed to respond to its investigation. ...
