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ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

Tag Archives: Maryland

15
Aug

ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

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ROGER OWENS of Cetera Advisors SUSPENDED – Elkton, MD

Roger Owens, formerly with Cetera Advisors, Suspended from Securities Industry   Have you lost money with financial advisor Roger Owens from Elkton, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Roger L. Owens. FINRA suspended Owens from the securities industry for twelve months, fined him $10,000, and ordered ...

02
Aug

INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD

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INVESTOR WARNING!  Investigation of FREDERICK HOLLOWAY of Easton, MD

Frederick Holloway, with Holloway & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Frederick Holloway of Easton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick David Holloway. FINRA was investigating Holloway regarding several allegations, including that: a) Holloway recommended the exchange of variable ...

26
Jan

Important Information for Victims of the DAVID ZIER and ZAM LLC Ponzi Scheme

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Important Information for Victims of the DAVID ZIER and ZAM LLC Ponzi Scheme

UPDATE:  Marla Roeser, formerly with City National Securities, Fined $10,000 for Failing to Supervise David Zier and ZAM, LLC   Have you lost money investing in ZAM LLC, a Potomac, Maryland-area based company?  Our firm is continuing our investigation into allegations that David Zier, the owner and operator of ZAM, ran a fraudulent scheme or ...

03
Jan

Investment Losses with KEVIN JEDLICKA of CHAPIN DAVIS – How to Recover Your Potential Losses

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Investment Losses with KEVIN JEDLICKA of CHAPIN DAVIS – How to Recover Your Potential Losses

Kevin Jedlicka, formerly of Chapin Davis, Suspended from Securities Industry for Six Months   Have you lost money with financial advisor Kevin Jedlicka of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin J. Jedlicka. FINRA suspended Jedlicka from the securities industry for six months after he was ...

18
Oct

WARNING! Investigation of COLEMAN DEVLIN

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WARNING!  Investigation of COLEMAN DEVLIN

Coleman Devlin, formerly of Stifel Nicolaus & Company, Suspended by FINRA   Have you lost money with financial advisor Coleman Devlin of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Coleman J. Devlin. FINRA suspended Devlin from the securities industry for 30 days and fined him $5,000 regarding ...

29
Sep

WARNING! Investigation of JAMES DRESSELAERS

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WARNING!  Investigation of JAMES DRESSELAERS

James Dresselaers and H. Beck Fined for ETF Trading   Have you lost money with financial advisor James Dresselaers of Bethesda, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James H. Dresselaers and his brokerage firm, H. Beck. FINRA suspended Dresselaers from the securities industry for two months, fined ...

25
Aug

UPDATE! ZAM LLC and DAVID ZIER

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UPDATE!  ZAM LLC and DAVID ZIER

City National Securities Fined $250,000 for Failing to Supervise David Zier and ZAM, LLC   Have you lost money investing in ZAM LLC, a Potomac, Maryland-area based company?  Our firm is investigating allegations that David Zier, the owner and operator of ZAM, ran a fraudulent scheme or Ponzi scheme, and that his former brokerage firm, ...

11
Aug

WARNING! Impending Investigation: PATRICK HUDSON

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WARNING!  Impending Investigation:  PATRICK HUDSON

Patrick Hudson, formerly of RBC Capital Markets, Suspended Six Months from Securities Industry   Have you lost money with Patrick Hudson of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick M. Hudson. FINRA suspended Hudson from the securities industry for six months and fined him $10,000.  FINRA ...

11
May

WARNING! Investigation: ANTHONY CUMMINGS of LUTHERVILLE, MD

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WARNING!  Investigation:  ANTHONY CUMMINGS of LUTHERVILLE, MD

Anthony Cummings, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Anthony Cummings of Lutherville Timonium, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony John Cummings. FINRA was investigating Cummings after he was alleged to have converted $60,000 from a client with ...

14
Dec

WARNING! Impending Investigation: DAVID ZIER, ZAM, LLC and CITY NATIONAL SECURITIES

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WARNING!  Impending Investigation:  DAVID ZIER, ZAM, LLC and CITY NATIONAL SECURITIES

David Zier Suicide, ZAM LLC, and City National Securities   Have you lost money investing in ZAM LLC, a Potomac, Maryland-area based company?  Our firm is investigating allegations that David Zier, the owner and operator of ZAM, ran a fraudulent scheme or Ponzi scheme.  The CFTC (the Commodities Futures Trading Commission) recently ordered Convergent Wealth ...

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