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INVESTIGATION of THOMAS STAPPAS – Parsippany, NJ

Tag Archives: Securities Investor Protection Corporation

16
Sep

INVESTIGATION of THOMAS STAPPAS – Parsippany, NJ

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INVESTIGATION of THOMAS STAPPAS – Parsippany, NJ

Thomas Stappas, formerly with Summit Equities, Barred from Securities Industry   Have you lost money with financial advisor Thomas Stappas from Parsippany, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Thomas Stappas. FINRA barred Stappas from the securities industry after he failed to respond to an investigation.  ...

13
Sep

UPDATE! GARY BASRALIAN Sentenced to 70 Months in Prison – Maplewood, NJ

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UPDATE!  GARY BASRALIAN Sentenced to 70 Months in Prison – Maplewood, NJ

Gary Basralian, former Royal Alliance Associates advisor, Sentenced to 70 Months in Prison   Have you lost money with financial advisor Gary Basralian of Maplewood, New Jersey?  We are continuing our investigation into Royal Alliance and its supervision over Gary Basralian.  Basralian, a former advisor with Royal Alliance Associates, was sentenced to 70 months in ...

10
Sep

KALOS CAPITAL and DARREN KUBIAK Fined by FINRA

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KALOS CAPITAL and DARREN KUBIAK Fined by FINRA

Kalos Capital and Darren Kubiak Settle with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with Kalos Capital and Darren Kubiak?  We are currently investigating allegations made against Kalos Capital, Inc., an Alpharetta, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action ...

10
Sep

UPDATE! JACK DAVID STONE of Forest Securities BARRED – Hillside, IL

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UPDATE!  JACK DAVID STONE of Forest Securities BARRED – Hillside, IL

Jack David Stone, previously with Forest Securities, Barred by FINRA   Have you lost money with financial advisor Jack David Stone?  We are investigating allegations made about Jack David Stone from Hillside, Illinois.  FINRA (the Financial Industry Regulatory Authority) barred Stone from the securities industry after Stone failed to respond to its investigation.   FINRA was ...

10
Sep

UPDATE on JACK HOWLEY of Park Avenue Securities – Rumson, NJ

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UPDATE on JACK HOWLEY of Park Avenue Securities – Rumson, NJ

 UPDATE!  Jack Howley, formerly with Park Avenue Securities, Barred from Securities Industry   Have you lost money with financial advisor John C.  Howley also known as “Jack Howley” (CRD# 2229244) formerly of Park Avenue Securities?  We are continuing to investigate allegations of former customers related to Jack C. Howley, who has worked in offices in ...

10
Sep

VICTIM INFO: Losses with MICHAEL BARRY CARTER of McLean, VA

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VICTIM INFO:  Losses with MICHAEL BARRY CARTER of McLean, VA

Michael Barry Carter, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Michael Barry Carter from McLean, Virginia?  The Law Firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael Barry Carter also known as Mike Carter. FINRA barred ...

10
Sep

Advisor APOSTOLOS PITSIRONIS of Melville, NY BARRED

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Advisor APOSTOLOS PITSIRONIS of Melville, NY BARRED

Apostolos Pitsironis, previously with Janney Montgomery Scott, Barred by FINRA   Have you lost money with financial advisor Apostolos Pitsironis?  We are investigating allegations made about Apostolos N. Pitsironis from Melville, New York.  FINRA (the Financial Industry Regulatory Authority) barred Pitsironis from the securities industry after Pitsironis regarding allegations that he converted over $411,000 from ...

06
Sep

WARNING! Investigation of ELIAS HERBERT HAFEN – New York, NY

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WARNING!  Investigation of ELIAS HERBERT HAFEN – New York, NY

Elias Herbert Hafen, formerly with Morgan Stanley and Wells Fargo, Subject of SEC Complaint   Have you lost money with financial advisor Elias Herbert Hafen, formerly of New York, New York?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Elias Herbert Hafen.  The SEC alleged that Hafen stole about $1.6 ...

05
Sep

WARNING! Investigation of STEFAN PASTOR – Fort Lauderdale, FL

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WARNING!  Investigation of STEFAN PASTOR – Fort Lauderdale, FL

Stefan Wayne Pastor, previously with Raymond James Financial Services, Barred by FINRA   Have you lost money with financial advisor Stefan Pastor?  The Law Firm of Israels & Neuman is investigating allegations made about Stefan A. Pastor from Fort Lauderdale, Florida.  FINRA (the Financial Industry Regulatory Authority) barred Pastor from the securities industry after Pastor ...

03
Sep

GERALD BRODSKY of Dinosaur Financial BARRED – New York, NY

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GERALD BRODSKY of Dinosaur Financial BARRED – New York, NY

Gerald Brodsky, previously with Dinosaur Financial Group, Barred by FINRA   Have you lost money with financial advisor Gerald Brodsky?  We are investigating allegations made about Gerald Lee Brodsky from New York, New York.  FINRA (the Financial Industry Regulatory Authority) barred Brodsky from the securities industry after Brodsky failed to fully respond to its investigation.   ...

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