SEARCH OUR BLOGS
2
Aug

INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD

INVESTOR ALERT! Frederick Holloway
Frederick Holloway, with Holloway & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Frederick Holloway of Easton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick David Holloway. FINRA was investigating Holloway regarding several allegations, including that: a) Holloway recommended the exchange of variable …
Read More "INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD"
27
Jul

INVESTOR ALERT! Investigation of MARK KAPLAN and VANDERBILT SECURITIES

Investor Alert! Daniel Burns of Newberg, Oregon and Woodbridge investments
Vanderbilt Securities Ordered to Pay $100,000 for Failing to Supervise Advisor Mark Kaplan   Vanderbilt Securities, a securities brokerage firm based out of Woodbury, New York, was recently ordered to pay $100,000 for supervisory failures related to trading by advisor Mark Kaplan.  FINRA (the Financial Industry Regulatory Authority) found that between March 2011 and March …
Read More "INVESTOR ALERT! Investigation of MARK KAPLAN and VANDERBILT SECURITIES"
26
Jul

WARNING! Investigation: STEVEN PAGARTANIS Charged With FRAUD

INVESTOR ALERT! Bryan Clark of Madison Avenue Securities in Atascadero, CA
Steven Pagartanis, formerly with Lombard Securities, Charged with Fraud   Have you lost money with financial advisor Steven Pagartanis of East Setauket, New York?  We are continuing our investigation into allegations made against Steven Pagartanis, who was recently charged with securities fraud and mail and wire fraud by the U.S. Attorney for the Eastern District …
Read More "WARNING! Investigation: STEVEN PAGARTANIS Charged With FRAUD"
24
Jul

Israels & Neuman Obtains $50,000 for Albuquerque, NM Client

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Israels & Neuman Obtains FINRA Award for Albuquerque, New Mexico Resident   Israels & Neuman has just recently obtained a default FINRA (Financial Industry Regulatory Authority) Award on behalf an Albuquerque, New Mexico resident against former brokerage firm, Legend Securities, Inc.  The Albuquerque investor alleged that a former representative of Legend Securities recommended that he …
Read More "Israels & Neuman Obtains $50,000 for Albuquerque, NM Client"
20
Jul

INVESTOR ALERT! Christopher Parr of Overland Park, KS SUSPENDED

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Christopher Parr, formerly with KCD Financial, Suspended Two Years from Securities Industry   Have you lost money with financial advisor Christopher Parr of Overland Park, Kansas?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Christopher M. Parr.  Parr was suspended from the securities industry for two years regarding allegations that …
Read More "INVESTOR ALERT! Christopher Parr of Overland Park, KS SUSPENDED"
20
Jul

WARNING! Impending Investigation – GEORGE TAYLOR of Litchfield, CT

Losses with Ronald Hannes of Woodbury Financial in Spokane, WA
George Taylor, with Fairport Capital, Subject of SEC Complaint   Have you lost money with financial advisor George Taylor of Litchfield, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against George Lewis Taylor.  The SEC alleged that Taylor and his advisory company, Temenos Advisory, steered numerous clients into risky private …
Read More "WARNING! Impending Investigation – GEORGE TAYLOR of Litchfield, CT"
20
Jul

WARNING! Impending Investigation – KIMBERLY KITTS of Orleans, MA

INVESTOR ALERT! Kimberly Kitts
Kimberly Kitts, formerly with Royal Alliance Associates, Subject of SEC Complaint   Have you lost money with financial advisor Kimberly Kitts of Orleans, Massachusetts?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Kimberly Pine Kitts.  The SEC alleged that Kitts, who has an office in Cape Cod, stole over $3 …
Read More "WARNING! Impending Investigation – KIMBERLY KITTS of Orleans, MA"
19
Jul

INVESTOR ALERT! CORY WILLIAMS of Mesa, AZ in Jail for PONZI Scheme

Investigation: John Schmidt and Wells Fargo
Cory Williams, formerly of Taylor Capital Management, Sentenced to Seven Years in Prison   Cory Ryan Williams of Mesa, Arizona was just sentenced to seven years in prison.   The U.S. Attorney’s Office for the District of Arizona in Phoenix alleged that Cory Williams was running a Ponzi scheme.  Williams, who is from Gilbert, Arizona, was …
Read More "INVESTOR ALERT! CORY WILLIAMS of Mesa, AZ in Jail for PONZI Scheme"
18
Jul

INVESTOR WARNING! Charles Bloom of Royal Palm Beach, FL BARRED

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Charles Bloom, formerly with Chelsea Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Charles Bloom of Royal Palm Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Lewis Bloom. FINRA barred Bloom from the securities industry after he failed to respond to …
Read More "INVESTOR WARNING! Charles Bloom of Royal Palm Beach, FL BARRED"