Israels & Neuman, PLC | Blog | Securities & Investment Fraud Law Firm

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23

Dec

SENIOR FRAUD ALERT! Mercer Hicks of Southeast Investments – Pinehurst, NC

Investigation of David Austin of J.P. Morgan in Grand Rapids, MI

Mercer Hicks, with Southeast Investments N.C., Subject of FINRA Complaint Have you lost money with financial advisor Mercer Hicks III? We are investigation allegations made about Mercer Toby Hicks III from Pinehurst, North Carolina. FINRA (the Financial Industry Regulatory Authority) seeks to punish Hicks. FINRA alleges that Hicks recommended the purchase of speculative non-traded REITs …
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20

Dec

INVESTIGATION of CECIL ROSS – San Angelo, TX

INVESTOR ALERT! Peggy Doherty-Punderson of Morgan Stanley in Lebanon, NH

Cecil Ross, formerly of Raymond James, Suspended Four Months from Securities Industry Have you lost money with financial advisor Cecil Ross of San Angelo, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Cecil Allen Ross. FINRA suspended Ross from the securities industry for four months and fined him $5,000 …
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11

Dec

Investigation of GERALD COYNE – Harrisburg, PA

FRAUD ALERT! Gerald Coyne of Cuso Financial in Harrisburg, PA

Gerald Coyne, formerly with Cuso Financial Services, Barred from Securities Industry Have you lost money with financial advisor Gerald Coyne of Harrisburg, Pennsylvania? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gerald T. Coyne. FINRA barred “J.T.” Coyne from the securities industry after he failed to respond to a …
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9

Dec

Investigation of BRYCE JENNEY – Nashville, TN

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN

Bryce Jenney, with Raymond James & Associates, Subject of FINRA Complaint Have you lost money with financial advisor Bryce Jenney of Nashville, Tennessee? The Law Firm of Israels & Neuman is investigating allegations made by FINRA (the Financial Industry Regulatory Authority) FINRA seeks to bar Jenney from the securities industry. The allege that he has failed …
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5

Dec

COMPLAINTS Against LESTER BURROUGHS – Torrington, CT

FRAUD ALERT! Kristian Finfrock of Kalos Capital located in Evansville, WI

Lester Burroughs, with Lincoln Investment, Subject of SEC Complaint Have you lost money with financial advisor Lester W. Burroughs of Lincoln Financial in Torrington, Connecticut? The Law Firm of Israels & Neuman is investigating allegations made by the Securities and Exchange Commission (SEC) against Lester William Burroughs. The SEC alleged that Burroughs raised funds …
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5

Dec

Chelsea Financial Services FINED For Lack of Supervision of Advisor CHARLES BLOOM

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL

Chelsea Financial Services Fined For Failing to Supervise Charles Bloom Have you lost money with financial advisor Charles Bloom of Chelsea Financial Services in Royal Palm Beach, Florida? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Lewis Bloom. In 2018, FINRA barred him from the …
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4

Dec

UPDATE! GPB Capital Class Action Lawsuit

Investor Alert! Daniel Burns of Newberg, Oregon and Woodbridge investments

GPB Capital Announces Another Delay in Releasing Audited Financials GPB Capital has been in the news again, and once again it is for negative news. GPB Capital announced last week that it was again delaying releasing audited financial statements for its company. This is in addition to the other recent news that GPB has …
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4

Dec

UPDATE! International Assets Advisory to Pay Restitution

International Assets Advisory Settles with FINRA Over Sales of Inverse and Leveraged ETFs Have you lost money investing in ETFs with International Assets Advisory? We are currently investigating allegations made against International Assets Advisory, an Orlando, Florida-based securities brokerage firm. FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against International Assets Advisory, …
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4

Dec

UPDATE on Investigation of MARK HOPKINS – Grand Blanc, MI

Losses with William Horak of Purshe Kaplan in Tallahassee, FL

Mark Hopkins, formerly with American Portfolios Financial Services, Subject of Michigan Investigation Have you lost money investing with Mark Hopkins from Grand Blanc, Michigan? We are continuing to look into allegations made against Mark Lewton Hopkins, formerly an advisor with American Portfolios Financial Services. Our firm currently represents a victim of Hopkins’ activities, and …
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1

Dec

JARET MUTTER of SunTrust Investigation UPDATE

INVESTOR ALERT! Michael Reither of First Allied Securities in St. Louis, MO

Israels & Neuman, PLC Investigates Jaret Mutter, Formerly of SunTrust Investment Services Have you lost money with financial advisor Jaret C. Mutter, formerly with SunTrust Investment Services in Roanoke, Virginia? We are investigating allegations of customers related to Jaret Mutter. Mutter has been the subject of five customer complaints. One customer complaint alleges that …
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SENIOR FRAUD ALERT! Mercer Hicks of Southeast Investments – Pinehurst, NC

SEARCH OUR BLOGS

23

SENIOR FRAUD ALERT! Mercer Hicks of Southeast Investments – Pinehurst, NC

20

INVESTIGATION of CECIL ROSS – San Angelo, TX

11

Investigation of GERALD COYNE – Harrisburg, PA

9

Investigation of BRYCE JENNEY – Nashville, TN

5

COMPLAINTS Against LESTER BURROUGHS – Torrington, CT

5

Chelsea Financial Services FINED For Lack of Supervision of Advisor CHARLES BLOOM

4

UPDATE! GPB Capital Class Action Lawsuit

4

UPDATE! International Assets Advisory to Pay Restitution

4

UPDATE on Investigation of MARK HOPKINS – Grand Blanc, MI

1

JARET MUTTER of SunTrust Investigation UPDATE