Steven Rodemer, previously with Stifel Nicolaus, Barred by FINRA Have you lost money with financial advisor Steven Rodemer?  We are looking into allegations made about Steven Dale Rodemer from Pueblo, Colorado.  FINRA (the Financial Industry Regulatory Authority) barred Rodemer from the securities industry.  FINRA alleged that Rodemer failed to respond to its investigation.   FINRA was …
Read More "Alert: STEVEN RODEMER of Stifel Nicolaus is BARRED – Pueblo, CO"

Dana Vietor, previously with Cape Securities, Barred by FINRA Have you lost money with financial advisor Dana Vietor?  We are looking into allegations made about Dana Bruce Vietor from Irving, Texas.  FINRA (the Financial Industry Regulatory Authority) barred Vietor from the securities industry.  FINRA was investigating Vietor after he was alleged to have sold $3 …
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Joel Flannigan, previously with NYLife Securities, Barred by FINRA Have you lost money with financial advisor Joel Flannigan?  We are looking into allegations made about Joel V. Flannigan from Fort Wayne, Indiana.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Flannigan failed to respond to its investigation.   FINRA …
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Eric Credle, previously with Pruco Securities, Barred by FINRA Have you lost money with financial advisor Eric Credle?  We are continuing to look into allegations made about Eric Hugh Credle from Indianapolis, Indiana.  FINRA (the Financial Industry Regulatory Authority) barred him from the securities industry.  FINRA alleged that Credle failed to respond to its investigation.   …
Read More "UPDATE! Eric Credle of Pruco is BARRED – Indianapolis, IN"

Thomas Logue, formerly with American Independent Securities Group, Subject of Illinois Complaint Have you lost money with financial advisor Thomas Logue of Hinsdale, Illinois?  We are continuing to look into allegations made against Thomas Joseph Logue, Jr.  The Illinois Securities Department brought a complaint against Logue to determine whether he should have his registrations revoked.  …
Read More "UPDATE! Complaints Against Advisor THOMAS LOGUE – Hinsdale, IL"

James Daughtry, previously with Kestra Investment Services, Barred by FINRA Have you lost money with financial advisor James Daughtry?  We are continuing to look into allegations made about James Blake Daughtry from Dothan, Alabama.  FINRA (the Financial Industry Regulatory Authority) barred Daughtry from the securities industry.  FINRA alleged that he failed to respond to its …
Read More "UPDATE: JAMES DAUGHTRY of Kestra is Now BARRED – Dothan, AL"

Halil Kozi, previously with PHX Financial, Suspended for Two Years Have you lost money with financial advisor Halil Kozi?  We are continuing to look into allegations made about Halil Kozi from New York, New York.  In 2019, FINRA (the Financial Industry Regulatory Authority) filed a complaint against Kozi, seeking to punish or fine him.  In …
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Israels & Neuman, PLC Investigates James Seijas, of Wells Fargo Advisors Have you lost money with financial advisor James Alan Seijas (CRD# 2392901) of Wells Fargo Advisors in Short Hills, New Jersey?  We are investigating allegations of former customers related to James Seijas. It has been alleged that he solicited investors to invest in a …
Read More "Investigation of Wells Fargo Advisor JAMES SEIJAS & Q3 PONZI SCHEME- Short Hills, NJ"

Quincy Caldwell, formerly with Planmember Securities Corp., Suspended Three Months Have you lost money with financial advisor Quincy Caldwell from Katy, Texas?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Quincy D. Caldwell.  FINRA alleged that he made unsuitable recommendations to six of his customers to switch from Class …
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Master Limited Partnerships (MLPs) and Oil and Gas Investments The equity markets have faced a lot of turbulence in the last few weeks with the emergence of COVID-19, a coronavirus.  The S&P 500 and Dow Jones indexes have plummeted.  As an example, the S&P 500 dropped from about 3300 to 2400 from February 19, 2020 …
Read More "INVESTMENT LOSSES with NGL in MLPs & Oil and Gas Investments?"