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6
Jul

Have You Lost Money Investing in UBS YIELD ENHANCEMENT STRATEGY?

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Investor Losses in UBS Yield Enhancement Strategy   Have you lost money investing with the UBS Yield Enhancement Strategy?  UBS created the “Yield Enhancement Strategy” or “YES”, which was an option-investing strategy that was marketed to investors as a safe way to enhance yield on investments.  In particular, the strategy involved an “iron condor” options …
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5
Jul

INVESTIGATION of PLANMEMBER SECURITIES CORP. Complaints

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
Planmember Securities Corp. Settles with FINRA Over Variable Annuity Exchanges   Have you lost money investing in variable annuities through Planmember Securities Corp., Inc.?  The law firm of Israels & Neuman is currently investigating allegations made against Planmember Securities, a Carpinteria, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action …
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4
Jul

INVESTOR ALERT! Jeffrey Blutstein of Kestra Investments BARRED

INVESTIGATION of Robert High of First Financial Equity in Scottsdale, AZ
Jeffrey Blutstein, formerly with Kestra Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Jeffrey Blutstein of Elmsford, New York?  The law firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Alan Blutstein. FINRA barred Blutstein from the securities industry after …
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3
Jul

INVESTIGATION: Brenda Smith of CV Brokerage – West Conshohocken, PA

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
Brenda Smith, formerly with CV Brokerage, Barred from Securities Industry   Have you lost money with financial advisor Brenda Smith of West Conshohocken, Pennsylvania?  The law firm of Israels & Neuman, PLC is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brenda Ann Smith. FINRA barred Smith from the securities industry after …
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2
Jul

ALERT! DAVID ANTYPAS of LPL Financial SUSPENDED

Investigation of David Austin of J.P. Morgan in Grand Rapids, MI
David Antypas, formerly with LPL Financial, Suspended Two Years from Securities Industry   Have you lost money with financial advisor David Antypas of Brentwood, Tennessee?  The law firm of Israels & Neuman is investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against David Philip Antypas.  Antypas was suspended from the securities industry for …
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2
Jul

FRAUD ALERT! JAMES BOOTH of Invest Financial Corp. and LPL Financial – Norwalk, CT

INVESTOR ALERT! Charles Stevens of D.H. Hill Securities in Humble, TX
James Booth, formerly with Invest Financial Corp. in Norwalk, Connecticut, Barred from Securities Industry   Have you lost money with financial advisor James Booth of Norwalk, Connecticut?  The law firm of Israels & Neuman is investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James Thomas Booth. FINRA barred Booth from the securities …
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28
Jun

GREGORY LANE of Raymond James BARRED – Belleville, IL

INVESTOR ALERT! Peggy Doherty-Punderson of Morgan Stanley in Lebanon, NH
Gregory Lane, formerly with Raymond James & Associates, Barred from Securities Industry   Have you lost money with financial advisor Gregory Lane of Belleville, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gregory John Lane. FINRA barred Lane from the securities industry after he failed to respond to a …
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26
Jun

DANIEL SOLIMAN of JP Morgan in New York Has Been BARRED

INVESTOR ALERT! Micah Patterson of MML Investors in Centerville, UT
Daniel Soliman, formerly with JP Morgan Securities, Barred from Securities Industry   Have you lost money with financial advisor Daniel Soliman of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel M. Soliman. FINRA barred Soliman from the securities industry after he failed to respond to …
Read More "DANIEL SOLIMAN of JP Morgan in New York Has Been BARRED"
26
Jun

Advisor JEFFREY SCHWEBACH of Dell Rapids, SD is SUSPENDED

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI
Jeffrey Schwebach, formerly with Independent Financial Group, Suspended from Securities Industry   Have you lost money with financial advisor Jeffrey Schwebach from Dell Rapids, South Dakota?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Jeffrey P. Schwebach. FINRA suspended Schwebach from the securities industry for eight months and ordered …
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