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WARNING! Investigation – LANDON WILLIAMS

Tag Archives: misrepresentation

25
Oct

WARNING! Investigation – LANDON WILLIAMS

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WARNING!  Investigation – LANDON WILLIAMS

Landon Williams, formerly of Merrill Lynch, Suspended Two Years by FINRA   Have you lost money with financial advisor Landon Williams of Jacksonville, Florida?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA began investigating Landon Williams regarding allegations that he made false and ...

22
Sep

FRAUD ALERT! MICHAEL BARNETT and HILLIARD LYONS

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FRAUD ALERT!  MICHAEL BARNETT and HILLIARD LYONS

Arbitration Award Against Hilliard Lyons Regarding Advisor Michael Barnett   In Benitone v. Hilliard Lyons, a couple brought claims against JJB Hilliard WL Lyons (Hilliard Lyons), regarding the conduct of financial advisor Michael Barnett from Marion, Illinois.  The couple alleged violation of the Illinois Securities Law, negligent misrepresentation, breach of fiduciary duty, negligent supervision, and ...

21
Jul

UPDATE! David Escarcega PERMANENTLY BARRED from Securities Industry

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UPDATE!  David Escarcega PERMANENTLY BARRED from Securities Industry

David Escarcega, formerly of Center Street Securities, Has Expulsion from Securities Industry Upheld   Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading ...

17
May

WARNING! Investigation: LANDON WILLIAMS of JACKSONVILLE, FL

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WARNING!  Investigation:  LANDON WILLIAMS of JACKSONVILLE, FL

Landon Williams, formerly of Merrill Lynch, Subject of FINRA Complaint   Have you lost money with financial advisor Landon Williams of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA is investigating Landon Williams regarding allegations that he made false and misleading representations to customers ...

15
Mar

INVESTOR ALERT! Jeff Wilson – Las Cruces, NM

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INVESTOR ALERT!  Jeff Wilson – Las Cruces, NM

Arbitration Award Against Wells Fargo Advisors Regarding Advisor Jeff Wilson   In Pryor v. Wells Fargo Advisors, a claimant brought claims against Wells Fargo Advisors, LLC, regarding the conduct of financial advisor Jeff R. Wilson from Las Cruces, New Mexico.  The claimant alleged fraud, negligent misrepresentation, breach of fiduciary duty, negligent supervision, and violations of ...

27
Dec

UPDATE! David Escarcega BARRED and FINED by Arizona

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UPDATE!  David Escarcega BARRED and FINED by Arizona

DAVID ESCARCEGA BARRED BY ARIZONA AND FINED $100,000   Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading statements in connection with the ...

30
Jun

ARBITRATION AWARD AGAINST CENTAURUS FINANCIAL REGARDING REITs

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ARBITRATION AWARD AGAINST CENTAURUS FINANCIAL REGARDING REITs

Arbitration Award Against Centaurus Financial Regarding REITs   In Baugh v. Centaurus Financial, Inc., a family brought a claim against Centaurus Financial, alleging misrepresentations and unsuitable investment recommendations in connection with the sale of several real estate investment trusts (or REITs), including Inland American, Phillips Edison – ARC Shopping Center REIT, Carter Validus Mission REIT, ...

28
Mar

WARNING! Impending Investigation: DAVID J. ESCARCEGA and CENTER STREET SECURITIES

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WARNING!  Impending Investigation:  DAVID J. ESCARCEGA and CENTER STREET SECURITIES

Investigation of David J. Escarcega and Center Street Securities                                                       Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading statements in connection with ...

03
Mar

WARNING! INVESTOR ALERT: Investigation of DAVID J. ESCARCEGA and CENTER STREET SECURITIES

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WARNING! INVESTOR ALERT: Investigation of DAVID J. ESCARCEGA and CENTER STREET SECURITIES

Investigation of David J. Escarcega and Center Street Securities   Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading statements in connection with ...

01
Jan

WARNING! Impending Investigation: JOSE A. ZAPATA and ARGENTUS SECURITIES

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WARNING!  Impending Investigation:  JOSE A. ZAPATA and ARGENTUS SECURITIES

Jose A. Zapata and Argentus Securities   Have you lost money with financial advisor Jose Zapata of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jose A. Zapata. FINRA barred Zapata from the securities industry after he misrepresented the value of an account to his customer.   FINRA ...

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