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7
Jan

Attorney David Neuman is Quoted Again Regarding Non-Attorney Representatives

Attorney David Neuman Quoted Again
Attorney David Neuman Is Quoted Again Regarding Non-Attorney Representatives   Attorney David Neuman was recently quoted again on the issue of non-attorney representatives (or NARs) in FINRA arbitration.  In late 2018, FINRA submitted a rule proposal to the SEC, which seeks to bar compensated NARs in its forum.   In a recent article written by …
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7
Jan

SPARTAN CAPITAL Seeks to Enjoin FINRA Arbitration Over IneedMD Losses

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Spartan Capital Securities Seeks to Enjoin FINRA Arbitration Over IneedMD and Losses   In November 2018, the Southern District of New York rendered in a decision in Spartan Capital Securities LLC v. Stonbely, Case No. 18-CV-6819.  Stonbely filed a FINRA arbitration claim against Spartan Capital Securities, alleging $87,000 in investment losses, as well as an …
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4
Jan

GARY PEVEY Fired for Selling $1.1 Million in Woodbridge to Clients

Losses with William Horak of Purshe Kaplan in Tallahassee, FL
Gary Pevey, Terminated from Mutual Securities and Suspended One Year from Securities Industry   Have you lost money with financial advisor Gary Pevey from Sacramento, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Gary L. Pevey. FINRA suspended Pevey from the securities industry for one year, ordered him …
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27
Dec

ALLEGATIONS Against STEPHEN CARBONELLA of LPL Financial

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Stephen Carbonella, formerly with LPL Financial, Barred by SEC   Have you lost money with financial advisor Stephen Carbonella of East Haven, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Stephen T. Carbonella.  The SEC alleged that Stephen Carbonella misappropriated funds while employed with Webster Bank Corporation, primarily by …
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26
Dec

INVESTIGATION: WILLIAM COUNCIL of Raymond James – San Diego, CA

Losses with Ronald Hannes of Woodbury Financial in Spokane, WA
William Council, with Raymond James, Subject of Two Customer Complaints   Have you lost money with financial advisor William Council of San Diego, California?  We are investigating allegations made against William M. Council.  According to FINRA’s BrokerCheck, Council has been the subject of one customer complaint, alleging claims regarding over-concentration of stocks in one market …
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18
Dec

UPDATE! ADAM LOPEZ Barred After Swindling Customers

INVESTOR ALERT! Peggy Doherty-Punderson of Morgan Stanley in Lebanon, NH
Adam Lopez from Springfield, Illinois Barred from Securities Industry   Have you lost money with financial advisor Adam Lopez from Springfield, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Adam Michael Lopez.  FINRA barred Lopez from the securities industry after he failed to respond to an investigation.  FINRA …
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15
Dec

LUKE JOHNSON of Coastal Equities, Subject of 3 Complaints

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI
Luke Johnson, with Coastal Equities, Subject of Three Customer Complaints   Have you lost money with financial advisor Luke Johnson of Scottsdale, Arizona?  We are investigating allegations made against Luke M. Johnson.  According to FINRA’s BrokerCheck, Johnson has been the subject of three customer complaints, alleging claims regarding non-traded REITs, or real estate investment trusts, …
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