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15
May

UPDATE! Investigation of DEAN GRANT and Theft from Customers

Investigation of Alan New of NYLife Securities in Fort Wayne, IN
Dean Grant, formerly with M Holdings Securities, Barred from Securities Industry Milledgeville, GA   Have you lost money investing with Dean Grant from Milledgeville, Georgia?  We are continuing to look into allegations made against Dean Harrison Grant, formerly an advisor with M Holdings Securities.  Dean Grant was barred from the securities industry by FINRA, after …
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14
May

Have You Lost Money with ROBERT LINDELL in Frankfort, ME?

Investigation of Alan New of NYLife Securities in Fort Wayne, IN
Robert Lindell from Frankfort, Maine, Barred from Securities Industry   Have you lost money with financial advisor Robert Kenneth Lindell, formerly of Frankfort, Maine?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Robert Lindell.  The SEC barred Lindell from the securities industry after he was found guilty of securities fraud, …
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12
May

INVESTOR ALERT: Harold Couglar of San Diego BARRED

Losses with Eric Kubiak of Ameriprise in Cheektowaga, NY
Have you lost money with financial advisor Harold Couglar of Montage Securities in San Diego, California?    We are investigating allegations made by the Oregon Division of Financial Regulation against Harold F. Couglar. Oregon barred Couglar from the securities industry.  Oregon was investigating Couglar regarding allegations that he opened discretionary trading accounts at an outside …
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10
May

Complaints and Losses with ROBERT ESTEVEZ of Investors Capital Corp.

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Have you lost money with financial advisor Robert Estevez of Investors Capital Corp. in Greenwich, Connecticut?   We are looking into allegations made by the Michigan Corporations, Securities & Commercial Licensing Bureau against Robert Estevez. Michigan denied an application for securities licensure filed by Estevez.  In denying his application, Michigan cited several reasons, including the …
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9
May

INVESTIGATION of BARRY HOROWITZ of Lincoln Financial

Investor Alert: Jeffrey Nimmow, Woodbridge investments, Forest Securities in Merrimac, WI Wisconsin
Israels & Neuman, PLC Investigates Barry Horowitz of Lincoln Financial Securities Corp.  – Glastonbury, CT   Have you lost money with financial advisor Barry Horowitz (CRD# 2651525), formerly with Lincoln Financial Securities Corp. in Glastonbury, Connecticut?  The law firm of Israels & Neuman is investigating allegations of former customers related to Barry Horowitz. Horowitz was …
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1
May

Advisor ANSELMO CONTRERAS Barred by FINRA – Angleton, TX

INVESTOR ALERT! Jeffrey Nimmow of Forest Securities in Merrimac, WI is BARRED
Have you lost money with financial advisor Anselmo Contreras from Angleton, Texas?    The law firm of Israels & Neuman is currently investigating allegations made against Anselmo Contreras, Jr., who previously worked with Cambridge Investment Research.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Contreras, alleging that he converted or misappropriated …
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30
Apr

MICHAEL AHEARN of Wells Fargo and Merrill Lynch is BARRED

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Have you lost money with financial advisor Michael Ahearn of Jenkintown, Pennsylvania?    The law firm of Israels & Neuman is looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael John Ahearn. FINRA barred Ahearn from the securities industry.  FINRA alleged that Ahearn provided false testimony during an investigation.  FINRA was …
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