Israels & Neuman, PLC Investigates Hugh Barndollar of Crown Capital Securities Have you lost money with financial advisor Hugh O. Barndollar III (CRD# 3027317) of Crown Capital Securities in Land O’ Lakes, Florida?  We are investigating allegations of former customers related to Hugh “Hobby” Barndollar. Hugh “Hobby” Barndollar’s CRD report, a public record maintained by …
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Randy Carpen, formerly with Vestech Securities, Barred from Securities Industry Have you lost money with financial advisor Randy Carpen of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Randy T. Carpen.  FINRA barred Carpen from the securities industry after he failed to respond to a FINRA investigation. …
Read More "RANDY CARPEN Barred for Excessive Trading in Customer Accounts"

Antonio Puente, formerly with VALIC Financial Advisors, Barred from Securities Industry Have you lost money with financial advisor Antonio Puente (Tony Puente) of Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Antonio Gutierrez Puente.  FINRA barred him from the securities industry after he failed to respond to a …
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Kevin Meadows, formerly with Cape Securities, Suspended from Securities Industry Have you lost money with financial advisor Kevin Joseph Meadows from Columbus, Georgia?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Kevin K. Meadows. FINRA suspended Kevin Meadows from the securities industry for three months.  Meadows was being investigated …
Read More "KEVIN MEADOWS Suspended for ELDER FRAUD – Columbus, GA"

Edward Matthes, formerly with Mutual of Omaha Investor Services, Subject of SEC Complaint Have you lost money with financial advisor Edward Matthes of Oconomowoc, Wisconsin?  We are continuing to look into allegations made by the Securities and Exchange Commission with respect to Edward Matthes.  The SEC filed a complaint against him, alleging that he defrauded …
Read More "UPDATE: Investigation of EDWARD MATTHES – Oconomowoc, WI"

Mason Gann, formerly with Berthel Fisher, Suspended from Securities Industry Have you lost money with financial advisor Mason Gann from Dallas, Texas?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mason Wayne Gann. FINRA suspended him from the securities industry for three months, regarding allegations that he engaged in …
Read More "INVESTOR ALERT: Mason Gann/Berthel Fisher SUSPENDED – Dallas, TX"

Kerry Wills, with First Western Securities, Suspended from Securities Industry Have you lost money with financial advisor Kerry Wills from Manhattan Beach, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Kerry Dean Wills. FINRA suspended him from the securities industry for six months and fined $10,000.  Wills was …
Read More "SENIOR FRAUD! Kerry Wills of First Western – Manhattan Beach, CA"

Robert Spiegel, formerly with First Standard Financial Company, Suspended from Securities Industry Have you lost money with financial advisor Robert Joseph Spiegel from Staten Island, New York?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Robert F. Spiegel. FINRA suspended Robert Spiegel from the securities industry for four months, …
Read More "ROBERT SPIEGEL Ordered to Pay Restitution – Staten Island, NY"

Israels & Neuman, PLC Investigates John Pronovost, of Cambridge Investment Research, and the LJM Preservation and Growth Fund Have you lost money with financial advisor John S. Pronovost (CRD# 1990612) of Cambridge Investment Research in Watertown, Connecticut?  We are investigating allegations of former customers related to John Pronovost. John Pronovost’s CRD report, a public record …
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Charles Evan, formerly with MML Investor Services, Barred from Securities Industry Have you lost money with financial advisor Charles Evan of Wellesley, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Jonathan Evan.  FINRA barred Evan from the securities industry after he failed to respond to a FINRA investigation.  …
Read More "COMPLAINTS Against CHARLES EVAN of MML – Wellesley, MA"