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ALERT! Stephen Querzoli and Allegations of Excessive Commissions

Tag Archives: mutual fund

29
Apr

ALERT! Stephen Querzoli and Allegations of Excessive Commissions

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ALERT!  Stephen Querzoli and Allegations of Excessive Commissions

Have you lost money with financial advisor Stephen Querzoli of the firm, Janney Montgomery Scott in Danvers, Massachusetts?   The law firm of Israels & Neuman is investigating allegations made by the Massachusetts Securities Division against Stephen T. Querzoli, a former advisor at Janney Montgomery Scott in Danvers, MA.  Massachusetts alleged that Janney Montgomery Scott ...

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 ...

06
Feb

Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA

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Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA

Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA   Have you lost money with financial advisor Bhenoy Dembla of Chicago, Illinois?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Bhenoy “Ben” Dembla. FINRA barred Dembla from the securities industry regarding allegations that he entered and later cancelled 41 ...

03
Dec

INVESTOR WARNING! Michael Norman BARRED from Securities Industry

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INVESTOR WARNING!  Michael Norman BARRED from Securities Industry

Michael Norman, formerly with NY Life Securities, Barred from Securities Industry   – Reno, Nevada   Have you lost money with financial advisor Michael Norman of Reno, Nevada?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Andrew Norman. FINRA barred Norman from the securities industry after he failed to ...

28
Nov

Advisor Arturo Nunez of PFS Primerica BARRED

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Advisor Arturo Nunez of PFS Primerica BARRED

Arturo Nunez, formerly with PFS Investments, Barred from Securities Industry   – Miami Lakes, Florida   Have you lost money with financial advisor Arturo Nunez from Miami Lakes, Florida?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Arturo  Nunez. FINRA barred Nunez from the securities industry after he failed ...

29
Oct

DAVID COLFLESH of NYLife – 18 Customer Complaints!

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DAVID COLFLESH of NYLife – 18 Customer Complaints!

David Colflesh, formerly with NYLife Securities, Suspended Eighteen Months   Have you lost money with financial advisor David Colflesh of Tarkio, Missouri?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against David R. Colflesh. FINRA suspended Colflesh from the securities industry for eighteen months and ordered him to disgorge over ...

28
Mar

WARNING! Impending Investigation: LAWRENCE FAWCETT of WESTPARK CAPITAL

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WARNING!  Impending Investigation:  LAWRENCE FAWCETT of WESTPARK CAPITAL

Lawrence Fawcett, formerly with Westpark Capital, Barred from Securities Industry   Have you lost money with financial advisor Lawrence Fawcett of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence (or Larry) J. Fawcett, Jr. FINRA barred Fawcett from the securities industry after he failed to ...

27
Mar

WARNING! Investigation of SANDERS SPANGLER – San Antonio, TX

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WARNING!  Investigation of SANDERS SPANGLER – San Antonio, TX

Sanders Spangler, formerly with LPL Financial, Barred from Securities Industry   Have you lost money with financial advisor Sanders Spangler of San Antonio, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sanders L. Spangler. FINRA barred Spangler from the securities industry after he failed to respond to a FINRA ...

29
Jan

How to Recover Losses Associated with JEFFREY KINDER of HUNTLEIGH SECURITIES

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How to Recover Losses Associated with JEFFREY KINDER of HUNTLEIGH SECURITIES

Jeffrey Kinder, formerly of Huntleigh Securities, Suspended 15 Months from Securities Industry   Have you lost money with financial advisor Jeffrey Kinder of St. Louis, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Collins Kinder. FINRA suspended Kinder from the securities industry for 15 months and fined him ...

29
Dec

What You Can Do to Recover Money Losses from Citigroup Global Markets

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What You Can Do to Recover Money Losses from Citigroup Global Markets

Citigroup Global Markets Fined $5.5 Million by FINRA   In December 2017, FINRA (the Financial Industry Regulatory Authority) fined Citigroup Global Markets $5.5 million, regarding allegations that Citigroup displayed inaccurate research ratings.  In a regulatory action, FINRA alleged that Citigroup put research ratings regarding 1,800 securities on numerous places, including customer statements, emails, and on ...

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