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INVESTOR ALERT: Harold Couglar of San Diego BARRED

Tag Archives: San Diego

12
May

INVESTOR ALERT: Harold Couglar of San Diego BARRED

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INVESTOR ALERT:  Harold Couglar of San Diego BARRED

Have you lost money with financial advisor Harold Couglar of Montage Securities in San Diego, California?    We are investigating allegations made by the Oregon Division of Financial Regulation against Harold F. Couglar. Oregon barred Couglar from the securities industry.  Oregon was investigating Couglar regarding allegations that he opened discretionary trading accounts at an outside ...

19
Feb

Michael Rappa of Foresters Equity Services, Barred from Securities Industry

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Michael Rappa of Foresters Equity Services, Barred from Securities Industry

Have you lost money with financial advisor Michael Rappa of Foresters Equity Services in San Diego, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael J. Rappa.  Rappa was being investigated regarding allegations that he sold $2.7 million in investments in the Woodbridge Group of Companies.  Last year, ...

28
Jan

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

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UPDATE!  KYUSUN KIM or “Kenny Kim” of Independent Financial Group

Kyusun Kim, formerly of Independent Financial Group, Subject of Arizona Corporation Commission Complaint   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by the Arizona Corporation Commission against Kyusun or “Kenny” Kim.  Kim was the subject of this complaint because he was ...

26
Dec

INVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA

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INVESTIGATION:  WILLIAM COUNCIL of Raymond James – San Diego, CA

William Council, with Raymond James, Subject of Two Customer Complaints   Have you lost money with financial advisor William Council of San Diego, California?  We are investigating allegations made against William M. Council.  According to FINRA’s BrokerCheck, Council has been the subject of one customer complaint, alleging claims regarding over-concentration of stocks in one market ...

14
Nov

UPDATE! KYLE HARRINGTON Barred for Stealing Money

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UPDATE!  KYLE HARRINGTON Barred for Stealing Money

Kyle Harrington, of San Diego, California, Barred from Securities Industry   Have you lost money with financial advisor Kyle Harrington of San Diego, California?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kyle Harrington. FINRA brought a claim against Harrington, making several allegations.   FINRA alleged that ...

27
Jun

WARNING! Investigation of KYUSUN KIM of San Diego, CA

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WARNING!  Investigation of  KYUSUN KIM of San Diego, CA

Kyusun Kim, formerly of Independent Financial Group, Barred from Securities Industry by FINRA   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Kyusun or “Kenny” Kim.  Kim was barred from the securities industry by ...

17
May

WARNING! Impending Investigation: JONATHAN SWEENEY of San Diego, CA

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WARNING! Impending Investigation: JONATHAN SWEENEY of San Diego, CA

Jonathan Sweeney, formerly with Navy Federal Brokerage Services, Barred from Securities Industry   Have you lost money with financial advisor Jonathan Sweeney of San Diego, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jonathan G. Sweeney. FINRA barred Sweeney from the securities industry regarding allegations that he intentionally misrepresented ...

07
Mar

Money Recovery Information: Losses From DAVID BARBER and MADISON AVENUE SECURITIES?

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Money Recovery Information:  Losses From DAVID BARBER and MADISON AVENUE SECURITIES?

David Barber, formerly with Madison Avenue Securities, Barred from Securities Industry   Have you lost money with financial advisor David Barber of Newport Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Lloyd Barber. FINRA barred Barber from the securities industry after he failed to respond to a ...

22
Jan

Have you Lost Money with SANDEEP VARMA of LPL Financial?

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Have you Lost Money with SANDEEP VARMA of LPL Financial?

Sandeep Varma, formerly with LPL Financial, Suspended from the Securities Industry   Have you lost money with financial advisor Sandeep Varma of San Diego, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sandeep Varma. FINRA suspended Varma from the securities industry for 10 days and fined him $15,000 regarding ...

16
Jan

If You Invested With GUILLERMO VALLADOLID of MORGAN STANLEY, You May Be a Victim of FRAUD

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If You Invested With GUILLERMO VALLADOLID of MORGAN STANLEY, You May Be a Victim of FRAUD

Guillermo Valladolid, formerly with Morgan Stanley, Barred from the Securities Industry   Have you lost money with financial advisor Guillermo Valladolid of La Jolla, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Guillermo W. Valladolid. FINRA barred Valladolid from the securities industry after he failed to respond to a ...

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