10.0David P Neuman
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WARNING! Impending Investigation–RAYMOND D. SCHMIDT and LPL FINANCIAL

Tag Archives: LPL Financial

26
Mar

WARNING! Impending Investigation–RAYMOND D. SCHMIDT and LPL FINANCIAL

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Raymond D. Schmidt and LPL Financial Have you lost money with financial advisor Raymond D. Schmidt from Oceanside, California? We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Raymond Schmidt.  FINRA recently barred Schmidt from the securities industry for borrowing money from clients, which is a violation of securities regulations ...

10
Mar

WARNING! Impending Investigation–JAMES J. MCATEE and LPL FINANCIAL

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James J. McAtee and LPL Financial Have you lost money with financial advisor James J. McAtee from Mount Zion, Illinois?  We are investigating allegations made by the Illinois Securities Department against James McAtee.  The Illinois Securities Department performed an audit on McAtee’s branch office in Mt. Zion, and it alleged that McAtee solicited and completed ...

28
Feb

UPDATE! Investigation of CHARLES C. FACKRELL and LPL FINANCIAL

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Charles C. Fackrell and LPL Financial Have you lost money with financial advisor Charles Caleb Fackrell from Yadkinville, North Carolina?  We have been investigating Charles Fackrell, after he was arrested in December 2014 for allegations that he stole at $300,000 from his clients.  Fackrell worked at Fackrell/Trivette Wealth Management in Yadkinville. Charles Fackrell was recently ...

16
Feb

PRESS RELEASE: Israels & Neuman PLC files arbitration Complaint against LPL FINANCIAL and VALIC

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Jodie L. Miller, VALIC Financial Advisors, and LPL Financial FOR IMMEDIATE RELEASE – Israels & Neuman PLC announce the filing of an arbitration complaint on behalf of investors who suffered losses in Tri-Med Corporation, against VALIC Financial Advisors and LPL Financial LLC.  The investors were solicited to invest in Tri-Med Corporation by Jodie L. Miller, ...

04
Feb

WARNING! Impending Investigation–CHARLES C. FACKRELL and LPL FINANCIAL

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Charles C. Fackrell and LPL Financial Have you lost money with financial advisor Charles Caleb Fackrell from Yadkinville, North Carolina?  Charles Fackrell was arrested in December 2014, after allegations that he stole at $300,000 from his clients.  Fackrell worked at Fackrell/Trivette Wealth Management in Yadkinville. Charles Fackrell was a financial advisor and registered representative of ...

17
Nov

WARNING! Impending Investigation–JODIE L. MILLER, VALIC FINANCIAL ADVISORS, and LPL FINANCIAL

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Jodie L. Miller, VALIC Financial Advisors, and LPL Financial Have you lost money with financial advisor Jodie L. Miller from Tampa, Florida?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Jodie Miller.  FINRA alleges that Miller sold $764,000 worth of notes or “Letters of Protection” issued by a ...

29
Oct

WARNING! Impending Investigation–RANDY L. LESLIE, EDWARD JONES and LPL FINANCIAL

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Randy L. Leslie, Edward Jones, and LPL Financial Have you lost money with financial advisor Randy L. Leslie from Golden, Colorado?  We are investigating allegations made against Mr. Leslie.  Randy Leslie was recently fined $7,000 by the Oregon Division of Finance and Corporate Securities.  Mr. Leslie was investigated by Oregon because he failed to disclose ...

30
May

WARNING! Impending Investigation–TRAVIS WETZEL and LPL FINANCIAL

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Travis Wetzel and LPL Financial Investigation We are currently investigating allegations made against Travis Wetzel, a former LPL Financial advisor from Frederick, Maryland who was recently charged with misappropriating at least $1.2 million from an elderly client.  The U.S. Attorney’s office in Maryland indicted Wetzel with wire fraud charges, alleging that he withdrew money from ...

10.0David P Neuman

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