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

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7

Mar

DONAVAN HUNTER of J.P. Morgan Barred by FINRA – Houston, TX

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI

Have you lost money with financial advisor Donovan Hunter of Houston, Texas? We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Donovan S. Hunter. FINRA barred Hunter from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Hunter after he was fired by …
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7

Mar

INVESTIGATION of THOMAS VON RECKERS of Wells Fargo

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

Have you lost money with financial advisor Thomas Von Reckers formerly of Wells Fargo? Israels & Neuman is investigating allegations of former customers related to Thomas Von Reckers, who has worked in Wells Fargo offices in Denver and Lakewood, Colorado. Thomas Reckers’ CRD report, a public record maintained by FINRA, states that Reckers has …
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6

Mar

LEGAL SCAM ALERT! Schmidt & Associates Phone numbers (562) 888-6490 and (866) 601-7396

THIS BLOG IS BEING POSTED FOR INFORMATIONAL PURPOSES! If you have questions about a call you received, please call your attorney (which is not me). I get some strange calls these days – people pretending to be the IRS, the US Department of Justice, and even people that claim I can pay my …
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6

Mar

FINRA’s Decision to Bar JIM SEOL From Securities Industry is Upheld

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

FINRA’s Decision to Bar Jim Seol of Ameriprise Financial Services, from Securities Industry Is Upheld Have you lost money with financial advisor Jim Seol of Ameriprise Financial Services in Irvine, California? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jim J. Seol. FINRA previously barred Seol …
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6

Mar

Investor Alert! DANIEL LEVINE Barred by State of Colorado

INVESTIGATION: Daniel Levine of Morgan Stanley

Have You Lost Money With Daniel Levine of Morgan Stanley in Greenwood Village, CO? We are investigating further into allegations made by against Daniel Todd Levine of Morgan Stanley in Greenwood Village, Colorado. The Colorado Securities Division barred Daniel Levine from the securities industry. Colorado alleged that Levine solicited investors to invest in Bitcoin …
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6

Mar

INVESTIGATION: Complaints Against REGAN ROHL of Wells Fargo

Investigation of David Dalton of Moors & Cabot in Boston, MA

Have you lost money with financial advisor Regan Allen Rohl of Wells Fargo in Fargo, ND? Israels & Neuman law firm is investigating allegations of former customers related to Regan Rohl, who worked in Wells Fargo offices in Fargo, North Dakota. Regan Rohl’s CRD report, a public record maintained by FINRA, states that Rohl …
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5

Mar

UPDATE! WILLIAM GENNITY of Alexander Capital BARRED

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

WILLIAM GENNITY of Alexander Capital, Barred from Securities Industry Have you lost money with financial advisor William Gennity, formerly with Alexander Capital in New York? We are continuing our investigation into allegations made by the SEC (Securities and Exchange Commission), against William (or Billy) C. Gennity and another former Alexander Capital representative, Rocco Roveccio. …
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2

Mar

LON FACCINI of Cape Securities Subject of COMPLAINTS and Lawsuits

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

Have you lost money with financial advisor Lon C. Faccini, Jr. of Cape Securities? We are investigating allegations of former customers related to Lon Faccini. Lon Faccini’s CRD report, a public record maintained by FINRA, states that Faccini has been the subject of six customer complaints and FINRA arbitration lawsuits. The customers claim Faccini …
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1

Mar

INVESTIGATION of JONATHAN PYNE of Berthel Fisher & Co.

INVESTOR ALERT! Joseph Thurnherr of Spartan Capital in New York

Have you lost money with financial advisor Jonathan Pyne (CRD# 2580510), of Berthel Fisher & Company, in Minneapolis, Minnesota? We are investigating allegations of former customers related to Jonathan Pyne of Berthel Fisher. Jonathan Pyne’s CRD report, a public record maintained by FINRA, states that Pyne has been the subject of six customer complaints. …
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27

Feb

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts

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

Have you lost money with financial advisor James Schwartz of Aegis Capital Corp.? We are investigating allegations made about James Bradley Schwartz of Melville, New York. FINRA (the Financial Industry Regulatory Authority) seeks to bar Schwartz from the securities industry. FINRA was investigating James Schwartz, a broker who previously worked with Aegis Capital Corp., …
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DONAVAN HUNTER of J.P. Morgan Barred by FINRA – Houston, TX

SEARCH OUR BLOGS

7

DONAVAN HUNTER of J.P. Morgan Barred by FINRA – Houston, TX

7

INVESTIGATION of THOMAS VON RECKERS of Wells Fargo

6

LEGAL SCAM ALERT! Schmidt & Associates Phone numbers (562) 888-6490 and (866) 601-7396

6

FINRA’s Decision to Bar JIM SEOL From Securities Industry is Upheld

6

Investor Alert! DANIEL LEVINE Barred by State of Colorado

6

INVESTIGATION: Complaints Against REGAN ROHL of Wells Fargo

5

UPDATE! WILLIAM GENNITY of Alexander Capital BARRED

2

LON FACCINI of Cape Securities Subject of COMPLAINTS and Lawsuits

1

INVESTIGATION of JONATHAN PYNE of Berthel Fisher & Co.

27

Complaints Against JAMES SCHWARTZ of Aegis Capital for Churning Accounts