Donald Woods, formerly with LPL Financial, Suspended Six Months by FINRA Have you lost money with financial advisor Donald S. Woods from Louisville, Kentucky?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Donald Woods. FINRA filed a complaint against Woods regarding allegations while he was affiliated with LPL Financial.  …
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Moloney Securities Co. Fined for Failing to Supervise John McKinstry Have you lost money with financial advisor John McKinstry of St. Louis, Missouri?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against John R. McKinstry, Jr. FINRA had previously kicked McKinstry out of the securities industry for selling …
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James Kennedy, formerly with Woodbury Financial Services, Barred by FINRA Have you lost money with financial advisor James Kennedy?  We are looking into allegations made about James Garland Kennedy, Jr. from Madison, Mississippi.  FINRA (the Financial Industry Regulatory Authority) barred Kennedy from the securities industry.  FINRA alleged that Kennedy has failed to adequately respond to …
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Sean Refsnider, with Ameriprise Financial Services, Subject of FINRA Complaint Have you lost money with financial advisor Sean Refsnider?  We are investigation allegations made about Sean Michael Refsnider from Haddon Heights, New Jersey.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Refsnider from the securities industry.  FINRA alleges that Refsnider converted or stole about …
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Charles Doraine, formerly with Next Financial Group, Barred by FINRA Have you lost money with financial advisor Charles Lawrence Doraine?  We are looking into allegations made about Charles Doraine from Corpus Christi, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Doraine from the securities industry.  FINRA alleged that Doraine has failed to respond to its …
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Bryan Benson, formerly with Wells Fargo, Barred by FINRA Have you lost money with financial advisor Bryan Benson?  We are looking into allegations made about Bryan E. Benson from Tucson, Arizona.  FINRA (the Financial Industry Regulatory Authority) barred Benson from the securities industry.  FINRA alleged that Benson has failed to respond to its investigation, after …
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Israels & Neuman, PLC Investigates Michael Fahsholtz, of Stifel Nicolaus Have you lost money with financial advisor Michael A. Fahsholtz, with Stifel Nicolaus in Wenatchee, Washington?  The Law Firm of Israels & Neuman is investigating allegations of former customers related to Michael Fahsholtz. Fahsholtz has been the subject of six customer complaints within the last …
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David Weisberg, formerly with Worden Capital Management, Suspended 11 Months by FINRA Have you lost money with financial advisor David Weisberg from New York, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against David Weisberg. FINRA filed a complaint against Weisberg regarding allegations while he was affiliated with …
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Israels & Neuman, PLC Investigates Christopher Ortiz, of National Securities Corp. Have you lost money with financial advisor Christopher Michael Ortiz of National Securities Corp. in Melville, New York?  We are investigating allegations of former customers related to Christopher Ortiz. It has been alleged that Christopher Ortiz solicited investors to invest in GPB Capital.  GPB …
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Israels & Neuman, PLC Investigates Joseph Gileno, of National Securities Corp. Have you lost money with financial advisor Joseph A. Gileno of National Securities Corp. in Mahopac, New York?  We are investigating allegations of former customers related to Joseph Gileno. It has been alleged that Joseph Gileno solicited investors to invest in GPB Capital.  GPB …
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