10
AprMICHAEL 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
AprFinancial 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
AprGEORGE 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
AprBRADLEY 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
MarOSCAR 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, ...
25
MarINVESTOR ALERT! EDWARD MATTHES of Wisconsin Barred
Have you lost money with financial advisor Edward Matthes of Mutual of Omaha Investor Services in Oconomowoc, Wisconsin? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Edward Earl Matthes. FINRA barred Matthes from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating ...
07
MarINVESTIGATION of THOMAS VON RECKERS of Wells Fargo
Have you lost money with financial advisor Thomas Von Reckers formerly of Wells Fargo? Israels & Neuman is investigating allegations of former customers related to Thomas Von Reckers, who has worked in Wells Fargo offices in Denver and Lakewood, Colorado. Thomas Reckers’ CRD report, a public record maintained by FINRA, states that Reckers has ...
06
MarInvestor Alert! DANIEL LEVINE Barred by State of Colorado
Have You Lost Money With Daniel Levine of Morgan Stanley in Greenwood Village, CO? We are investigating further into allegations made by against Daniel Todd Levine of Morgan Stanley in Greenwood Village, Colorado. The Colorado Securities Division barred Daniel Levine from the securities industry. Colorado alleged that Levine solicited investors to invest in Bitcoin ...
02
MarLON FACCINI of Cape Securities Subject of COMPLAINTS and Lawsuits
Have you lost money with financial advisor Lon C. Faccini, Jr. of Cape Securities? We are investigating allegations of former customers related to Lon Faccini. Lon Faccini’s CRD report, a public record maintained by FINRA, states that Faccini has been the subject of six customer complaints and FINRA arbitration lawsuits. The customers claim Faccini ...
17
FebFloyd Powell, formerly with MetLife Securities, Barred from Securities Industry
Have you lost money with financial advisor Floyd Powell from Albertville, Alabama? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Floyd E. Powell. FINRA barred Powell from the securities industry. Powell was being investigated regarding allegations that he sold $3.5 million in investments in the Woodbridge Group of Companies. ...
