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UPDATE! MARK HOPKINS of American Portfolios BARRED

Tag Archives: Securities fraud attorneys

16
May

UPDATE! MARK HOPKINS of American Portfolios BARRED

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UPDATE!  MARK HOPKINS of American Portfolios BARRED

Have you lost money investing with Mark Hopkins of American Portfolios Financial Services in Grand Blanc, Michigan?    We are continuing to look into allegations made against Mark Hopkins, a former advisor with American Portfolios Financial Services.  Hopkins was barred from the securities industry by FINRA, after he failed to respond to their investigation into ...

14
May

Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

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Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

Robert Lindell from Frankfort, Maine, Barred from Securities Industry   Have you lost money with financial advisor Robert Kenneth Lindell, formerly of Frankfort, Maine?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Robert Lindell.  The SEC barred Lindell from the securities industry after he was found guilty of securities fraud, ...

16
Apr

UPDATE! JAMES SCHWARTZ of Aegis Capital is BARRED

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UPDATE!  JAMES SCHWARTZ of Aegis Capital is BARRED

Have you lost money with financial advisor James B. Schwartz in New York?    We are continuing to look into allegations made about James Bradley Schwartz from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Schwartz from the securities industry.   FINRA previously brought a complaint against Schwartz in February 2019.  FINRA was ...

14
Apr

FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

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FURMAN FORD of NYLife Securities ARRESTED – Raleigh, NC

Have you lost money with financial advisor Furman Ford of NYLife Securities in Raleigh, North Carolina?    The law firm of Israels & Neuman looking into allegations made by the US Attorney for the Eastern District of North Carolina against Furman Alexander Ford. Ford was arrested and charged with eleven counts of mail and wire ...

10
Apr

MICHAEL LESSARD of Southeast Investments BARRED

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MICHAEL LESSARD of Southeast Investments BARRED

Have you lost money with financial advisor Michael Lessard of Southeast Investments in Charlotte, North Carolina?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Lessard FINRA barred Lessard from the securities industry regarding allegations that he borrowed money from two customers, which generally is not allowed in ...

09
Apr

Financial Advisor JAMES BYLENGA of Michigan BARRED

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Financial Advisor JAMES BYLENGA of Michigan BARRED

Have you lost money with financial advisor James Bylenga of Portage, Michigan?    We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against James C. Bylenga. FINRA barred Bylenga from the securities industry after he failed to respond to an investigation.  FINRA was investigating Bylenga regarding allegations that he borrowed money ...

04
Apr

GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

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GEORGE MERHOFF of Cetera Advisors FIRED with 24 Complaints

Have you invested with George Merhoff of Cetera Advisors in Oregon?   George Merhoff was fired by Cetera Advisors in April 2019.  Merhoff, who worked in the Klamath Falls, Oregon office, was terminated regarding allegations that he made undisclosed payments to a customer.   This is no surprise, since Merhoff has been the subject of ...

02
Apr

BRADLEY LATTING of State Farm VP Management BARRED

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BRADLEY LATTING of State Farm VP Management BARRED

Have you lost money with financial advisor Bradley Latting of Lawton, Oklahoma?    We are continuing our investigation into allegations by the Financial Industry Regulatory Authority (FINRA) against Bradley Allen Latting.  Latting was barred from the securities industry by FINRA for failing to respond to an investigation.  FINRA was investigating Latting for allegedly converting or ...

29
Mar

INVESTIGATION of THOMAS BORRUSO of LPL Financial

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INVESTIGATION of THOMAS BORRUSO of LPL Financial

 Have you lost money with financial advisor Thomas J. Borruso of National Securities Corp. and LPL Financial in Melville, New York?    The law firm of Israels & Neuman is investigating allegations of former customers related to Thomas Borruso. Thomas Borruso’s CRD report, a public record maintained by FINRA, states that Borruso was barred from ...

27
Mar

INVESTOR ALERT! Sam Aziz of Wells Fargo and Coastal Equities BARRED

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INVESTOR ALERT!  Sam Aziz of Wells Fargo and Coastal Equities BARRED

Have you lost money with financial advisor Sam Aziz of Dublin, Ohio?    We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sam Aziz. FINRA barred Aziz from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Aziz based on allegations that he engaged ...

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