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

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12

Nov

WARNING! Investigation of CONRAD COGGESHALL – Scottsdale, AZ

Losses with Sean Casterline and Tuscan Gardens investments, Delta Securities and in Maitland, FL

Conrad Coggeshall, formerly with Packerland Brokerage Services, Subject of SEC Complaint Have you lost money with financial advisor Conrad A. Coggeshall of Scottsdale, Arizona? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Conrad Coggeshall. The SEC alleged that Coggeshall raised funds from investors for a company called BOTR, LLC. …
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12

Nov

Investigation: LEONARD KINSMAN of Wells Fargo – Staten Island, NY

Losses with Mason Gann of Berthel Fisher in Dallas, TX

Israels & Neuman, PLC Investigates Leonard Kinsman, Formerly of Wells Fargo Have you lost money with financial advisor Leonard Charles Kinsman, formerly with Wells Fargo in Staten Island, New York? We are investigating allegations of customers related to Leonard Kinsman who has been the subject of five customer complaints. The latest customer complaint alleged …
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11

Nov

Timothy Mills of NYLife SUSPENDED – Okemos, MI

INVESTOR ALERT! Timothy Mills of NYLife in Okemos, MI

Timothy Mills, formerly with NYLife Securities, Suspended Three Months Have you lost money with financial advisor Timothy Mills from Okemos, Michigan? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Timothy Robert Mills. FINRA alleged that Timothy Mills made unsuitable recommendations to ten of his customers to switch from …
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11

Nov

Triad Advisors and Claims Over GPB Capital

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

Triad Advisors Facing Claims Over GPB Capital Have you lost money investing in GPB Capital through Triad Advisors? Triad Advisors is a securities brokerage firm owned by Ladenburg Thalmann Financial Services. According to a recent filing with the SEC (Securities and Exchange Commission), Triad Advisors is facing six customer-initiated arbitration claims. The claims allege …
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10

Nov

Spartan Capital Securities Loses Motion to Vacate Arbitration Award

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA

Spartan Capital Securities Loses Motion to Vacate Arbitration Award In 2019, the U.S. District Court for the District of South Dakota confirmed an arbitration award in favor of investors who sued Spartan Capital Securities. A FINRA arbitration panel entered in award in favor of a couple who sued Spartan Capital, alleging unsuitable investment recommendations, …
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7

Nov

INVESTIGATION: Ma Rosa Linan Abrego of McAllen, TX

INVESTOR ALERT! Ma Rosa Linan Abrego of Merrill Lynch in McAllen, TX

Ma Rosa Linan Abrego, formerly with Merrill Lynch, Barred from Securities Industry Have you lost money with financial advisor Ma Rosa Linan Abrego from McAllen, Texas? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Abrego. FINRA barred her from the securities industry after she failed to respond to …
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7

Nov

WARNING! Cindy Chiellini, Ricky Mantei and Centaurus Financial

Investigation of Cindy Chiellini, Ricky Mantei and Centaurus Financial in Lexington, SC

Cindy Chiellini, Ricky Mantei, and Centaurus Financial, Subject of Colorado Securities Division Complaint The Law Firm of Israels & Neuman is investigating allegations made by against Cindy Chiellini, Ricky Mantei, and Centaurus Financial. The Colorado Securities Division seeks to punish Cindy Chiellini, Ricky Mantei, and Centaurus Financial for their roles in selling structured CDs …
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7

Nov

INVESTORS: CLASS ACTION Against GPB Capital

INVESTOR ALERT: Class Action Lawsuit Against GPB Capital

GPB Capital Subject of Class Action GPB Capital is under more pressure with the recent filing of a class action in Texas. The class action alleges that investments operated like a Ponzi scheme, engaged in self-dealing, and failed to adequately disclose material conflicts of interest. GPB Capital raised over $1.8 billion from investors through …
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6

Nov

CHRISTOPHER KOZAK of Cetera SUSPENDED – Highlands Ranch, CO

Investigation of Alan New of NYLife Securities in Fort Wayne, IN

Christopher Kozak, formerly with Cetera Advisors, Suspended 6 Months Have you lost money with financial advisor Christopher Kozak of Highlands Ranch, Colorado? We are investigating allegations made against Christopher Kozak. According to the Financial Industry Regulatory Authority (FINRA), Kozak allegedly failed to disclose to his former brokerage firm, Cetera Advisors, that he was conducting …
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6

Nov

COMPLAINTS Against James McKinney of Cetera – Tulsa, OK

WARNING! James McKinney of Cetera Advisors in Tulsa, Oklahoma OK

James McKinney, with Cetera Advisors, Subject of FINRA Complaint Have you lost money with financial advisor James Gregory McKinney? We are investigating allegations made about “Greg” McKinney from Tulsa, Oklahoma. FINRA (the Financial Industry Regulatory Authority) seeks to bar McKinney from the securities industry. FINRA alleges that he has failed to respond to its …
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WARNING! Investigation of CONRAD COGGESHALL – Scottsdale, AZ

SEARCH OUR BLOGS

12

WARNING! Investigation of CONRAD COGGESHALL – Scottsdale, AZ

12

Investigation: LEONARD KINSMAN of Wells Fargo – Staten Island, NY

11

Timothy Mills of NYLife SUSPENDED – Okemos, MI

11

Triad Advisors and Claims Over GPB Capital

10

Spartan Capital Securities Loses Motion to Vacate Arbitration Award

7

INVESTIGATION: Ma Rosa Linan Abrego of McAllen, TX

7

WARNING! Cindy Chiellini, Ricky Mantei and Centaurus Financial

7

INVESTORS: CLASS ACTION Against GPB Capital

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CHRISTOPHER KOZAK of Cetera SUSPENDED – Highlands Ranch, CO

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COMPLAINTS Against James McKinney of Cetera – Tulsa, OK