10.0David P Neuman
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Have You Lost Money With JAMES BASHAW of Houston, TX?

Tag Archives: LPL Financial

24
Apr

Have You Lost Money With JAMES BASHAW of Houston, TX?

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Have You Lost Money With JAMES BASHAW of Houston, TX?

Have you lost money with financial advisor James Bashaw of LPL Financial and International Assets Advisory in Houston, Texas?    The law firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against James E. Bashaw. FINRA suspended Bashaw from the securities industry for four months and fined ...

12
Apr

Advisor BRIAN STEPHAN of LPL Financial SUSPENDED

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Advisor BRIAN STEPHAN of LPL Financial SUSPENDED

Have you lost money with financial advisor Brian Stephan of LPL Financial in Xenia, Ohio?   We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Brian L. Stephan. FINRA suspended Stephan from the securities industry for 8 months, ordered him to pay restitution of $29,400, and fined him $10,000.  Stephan ...

09
Apr

Financial Advisor JAMES BYLENGA of Michigan BARRED

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Financial 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 ...

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.   ...

29
Mar

INVESTIGATION of THOMAS BORRUSO of LPL Financial

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INVESTIGATION of THOMAS BORRUSO of LPL Financial

 Have you lost money with financial advisor Thomas J. Borruso of National Securities Corp. and LPL Financial in Melville, New York?    The law firm of Israels & Neuman is investigating allegations of former customers related to Thomas Borruso. Thomas Borruso’s CRD report, a public record maintained by FINRA, states that Borruso was barred from ...

13
Jan

ALERT! KIMM HANNAN Found GUILTY of Investment Fraud

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ALERT!  KIMM HANNAN Found GUILTY of Investment Fraud

Kimm Hannan from Jackson Township, Ohio Found Guilty of Investment Fraud   Have you lost money with financial advisor Kimm Hannan, formerly of Jackson Township, Ohio?  On January 18, 2019, Kimm C. Hannan was found guilty of investment fraud, according to Inde Online.  Hannan is scheduled to be sentenced on January 22, 2019.  Hannan could ...

20
Nov

Have You Lost Money with CHERYL STALLINGS? Amarillo, TX

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Have You Lost Money with CHERYL STALLINGS?  Amarillo, TX

Cheryl Stallings, formerly with LPL Financial, Barred from Securities Industry   Have you lost money with financial advisor Cheryl Stallings of Amarillo, Texas?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Cheryl Ann Stallings.  Stallings was barred from the securities industry regarding allegations that she misused customer funds and failed ...

08
Sep

Have You lost Money with MARK LAMKIN of Louisville, KY?

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Have You lost Money with MARK LAMKIN of Louisville, KY?

Mark Lamkin of Louisville, Kentucky Terminated by LPL Financial   Our firm is investigating allegations made against Mark Lamkin of Louisville, Kentucky.  According to BrokerCheck, Lamkin was terminated by LPL Financial within the last month.  Lamkin was alleged to have received or benefited from loans from customers of LPL Financial.  He also was alleged to ...

05
Sep

DAVID DEL RIO Fraud Victims May Be Awarded Money – Lehigh Acres, FL

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DAVID DEL RIO Fraud Victims May Be Awarded Money – Lehigh Acres, FL

David Del Rio, formerly with Suntrust Investment Services, Arrested and Charged with Theft   Have you lost money investing with David Del Rio of Lehigh Acres, Florida?  We are investigating allegations made against David Del Rio, a financial advisor that was formerly affiliated with Suntrust Investment Services.  According to the Sun Sentinel, Del Rio was ...

10
Jul

UPDATE! Matthew Woodard of Farmington, CT BARRED

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UPDATE!  Matthew Woodard of Farmington, CT BARRED

Matthew Woodard, formerly with ProEquities, Barred by SEC   Have you lost money with financial advisor Matthew Woodard of Farmington, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Matthew C. Woodard.  The SEC barred Woodard from the securities industry regarding allegations that he sold unregistered securities in a business ...

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