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INVESTOR ALERT! Complaints Against HALIL KOZI of PHX Financial – New York

Tag Archives: PHX Financial

18
Sep

INVESTOR ALERT! Complaints Against HALIL KOZI of PHX Financial – New York

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INVESTOR ALERT!  Complaints Against HALIL KOZI of PHX Financial – New York

Halil Kozi, previously with PHX Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Halil Kozi?  We are investigating allegations made about Halil Thomas Kozi from New York, New York.  FINRA (the Financial Industry Regulatory Authority) filed a complaint against Kozi, seeking to punish or fine him.   FINRA was investigating ...

16
Mar

WARNING! Impending Investigation – STEPHEN WOODS of PHX FINANCIAL

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WARNING!  Impending Investigation – STEPHEN WOODS of PHX FINANCIAL

Stephen Woods, formerly with PHX Financial, Barred from Securities Industry   Have you lost money with financial advisor Stephen Woods of Hauppauge, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Stephen J. Woods. FINRA barred Woods from the securities industry after he failed to respond to a FINRA ...

03
Nov

UPDATE! Demitrios Hallas of PHX Financial BARRED from Securities Industry

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UPDATE!  Demitrios Hallas of PHX Financial BARRED from Securities Industry

Demitrios Hallas, formerly with PHX Financial and Santander Securities, Barred by FINRA   Have you lost money with financial advisor Demitrios Hallas of New York, New York?  We are continuing our investigation into allegations made by the securities regulators against Hallas.  FINRA (the Financial Industry Regulatory Authority) barred Hallas from the securities industry after he ...

29
Sep

WARNING! Investigation of DEMITRIOS HALLAS

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WARNING!  Investigation of DEMITRIOS HALLAS

Demitrios Hallas, formerly with PHX Financial, Subject of SEC Complaint   Have you lost money with financial advisor Demitrios Hallas of New York, New York?  We are investigating allegations made by the Securities and Exchange Commission (SEC).   The SEC alleged that Hallas bought and sold leveraged ETFs (exchange traded funds) and ETNs (exchange traded notes) ...

08
Jan

Investor Alert! SOLOMON KRISPEAL – New York, NY

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Investor Alert!  SOLOMON KRISPEAL – New York, NY

SOLOMON KRISPEAL FROM NEW YORK, NEW YORK   Have you lost money with financial advisor Solomon Krispeal of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Solomon D. Krispeal. FINRA suspended Krispeal from the securities industry for 30 days and fined him $2,500 for failing to ...

19
Mar

WARNING! Impending Investigation–SALVATORE GIOE, PHX FINANCIAL, and LEGEND SECURITIES

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Salvatore Gioe, PHX Financial, and Legend Securities Have you lost money with financial advisor Salvatore Gioe?  We are investigating allegations made by the Arkansas Securities Department against Salvatore Gioe, from New York, New York.  The Arkansas Securities Department recently suspended Gioe for one year for a failure to abide by a previous regulatory order.  Under ...

10.0David P Neuman

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