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INVESTOR ALERT! Sam Aziz of Wells Fargo and Coastal Equities BARRED

Tag Archives: margin

27
Mar

INVESTOR ALERT! Sam Aziz of Wells Fargo and Coastal Equities BARRED

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INVESTOR ALERT!  Sam Aziz of Wells Fargo and Coastal Equities BARRED

Have you lost money with financial advisor Sam Aziz of Dublin, Ohio?    We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sam Aziz. FINRA barred Aziz from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Aziz based on allegations that he engaged ...

30
Nov

Complaints Against MARK FLANAGAN of Citigroup Global

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Complaints Against MARK FLANAGAN of Citigroup Global

Mark Flanagan, formerly with Citigroup Global Markets, Barred from Securities Industry   -Highland Park, Illinois   Have you lost money with financial advisor Mark Flanagan from Highland Park, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mark J. Flanagan. FINRA barred Flanagan from the securities industry after he ...

19
Sep

Have you Lost Money with LJM PRESERVATION and GROWTH FUND or HORTER INVESTMENT MANAGEMENT?

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Horter Investment Management and LJM Preservation and Growth Fund Investment Loss Recovery   Have you lost money investing in the LJM Preservation and Growth Fund through Horter Investment Management?  Our securities and investment fraud law firm currently represents investors who lost money investing in the LJM Preservation and Growth Fund through recommendations from their advisors ...

22
May

Have You Lost Money with LJM Preservation and Growth Fund?

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Have You Lost Money with LJM Preservation and Growth Fund?

Market Losses in LJM Preservation and Growth Fund   There was a lot of volatility in the stock markets in early February 2018.  On February 2, the S&P 500 index lost about 1.67%, before losing another 3.36% on February 5, only to gain back about 3% on February 6.   One particular fund, the LJM ...

02
Apr

ARBITRATION AWARD AGAINST LANIS D. NOBLE and STIFEL NICOLAUS & COMPANY

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Arbitration Award Against Lanis D. Noble and Stifel Nicolaus & Company   In Gilbert v. Lanis D. Noble and Stifel Nicolaus & Company, FINRA No. 12-02897, a customer Claimant sued Lanis Noble and Stifel Nicolaus & Company alleging breach of fiduciary duty and churning.  The Claimant alleged that Noble and Stifel used margin in her ...

10.0David P Neuman

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