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CHRISTOPHER LAWS of LPL Financial Now BARRED by SEC

Tag Archives: prison

31
Dec

CHRISTOPHER LAWS of LPL Financial Now BARRED by SEC

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CHRISTOPHER LAWS of LPL Financial Now BARRED by SEC

Former LPL Financial Broker Christopher S. Laws, Barred by SEC   Have you lost money investing with Christopher Laws, Jonathan Cooke, Danny Hood, or Brandon Long? In 2017, Christopher Laws, Jonathan Cooke, Danny Hood, and Brandon Long were recently the subject of a regulatory action by the Securities and Exchange Commission (SEC).   According to a ...

27
Dec

Next Financial Group FINED for Selling REIT’s

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Next Financial Group FINED for Selling REIT’s

Next Financial Group Fined by Massachusetts Securities Division over REIT Sales Have you lost money investing in non-traded REITs with Next Financial Group?  We are investigating allegations made by the Massachusetts Securities Division against Next Financial , a Houston, Texas-based brokerage firm.   Massachusetts alleged that a representative of Next sold a number of non-traded ...

11
Dec

Investigation of GERALD COYNE – Harrisburg, PA

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Investigation of GERALD COYNE – Harrisburg, PA

Gerald Coyne, formerly with Cuso Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Gerald Coyne of Harrisburg, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gerald T. Coyne.  FINRA barred “J.T.” Coyne from the securities industry after he failed to respond to a ...

09
Dec

Investigation of BRYCE JENNEY – Nashville, TN

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Investigation of BRYCE JENNEY – Nashville, TN

Bryce Jenney, with Raymond James & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Bryce Jenney of Nashville, Tennessee? The Law Firm of Israels & Neuman is investigating allegations made by FINRA (the Financial Industry Regulatory Authority)     FINRA seeks to bar Jenney from the securities industry.  The allege that he has failed ...

06
Dec

Investigation of JERRY WELLS of MetLife – Rochester, NY

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Investigation of JERRY WELLS of MetLife – Rochester, NY

Jerry Wells, formerly with MetLife Securities, Suspended Two Months by FINRA   Have you lost money with financial advisor Jerry Wells from Rochester, New York?  We are currently investigating allegations made against Jerry M. Wells, who previously worked with MetLife Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Wells, making allegations ...

05
Dec

INVESTIGATION: John Benn of Peak Brokerage – Oklahoma City

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INVESTIGATION:  John Benn of Peak Brokerage – Oklahoma City

John Benn, formerly of Peak Brokerage Services, Barred by Oklahoma Securities Commission   Have you lost money with financial advisor John Benn of Oklahoma City, Oklahoma?  We are continuing to look into allegations by the Oklahoma Securities Commission against John William Benn. Oklahoma barred Benn from the securities industry, regarding allegations that Benn sold alleged ...

05
Dec

COMPLAINTS Against LESTER BURROUGHS – Torrington, CT

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COMPLAINTS Against LESTER BURROUGHS – Torrington, CT

Lester Burroughs, with Lincoln Investment, Subject of SEC Complaint   Have you lost money with financial advisor Lester W. Burroughs of Lincoln Financial in Torrington, Connecticut?  The Law Firm of Israels & Neuman is investigating allegations made by the Securities and Exchange Commission (SEC) against Lester William Burroughs.  The SEC alleged that Burroughs raised funds ...

05
Dec

Chelsea Financial Services FINED For Lack of Supervision of Advisor CHARLES BLOOM

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Chelsea Financial Services FINED For Lack of Supervision of Advisor CHARLES BLOOM

Chelsea Financial Services Fined For Failing to Supervise Charles Bloom   Have you lost money with financial advisor Charles Bloom of Chelsea Financial Services in Royal Palm Beach, Florida?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Lewis Bloom. In 2018, FINRA barred him from the ...

04
Dec

UPDATE! International Assets Advisory to Pay Restitution

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International Assets Advisory Settles with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with International Assets Advisory?  We are currently investigating allegations made against International Assets Advisory, an Orlando, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against International Assets Advisory, ...

01
Dec

JARET MUTTER of SunTrust Investigation UPDATE

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JARET MUTTER of SunTrust Investigation UPDATE

 Israels & Neuman, PLC Investigates Jaret Mutter, Formerly of SunTrust Investment Services   Have you lost money with financial advisor Jaret C. Mutter, formerly with SunTrust Investment Services in Roanoke, Virginia?  We are investigating allegations of customers related to Jaret Mutter. Mutter has been the subject of five customer complaints. One customer complaint alleges that ...

10.0David P Neuman

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