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5
Mar

Israels & Neuman Investigates BRANDON STIMPSON of ALLEGIS INVESTMENT

INVESTOR ALERT! Mark Kregor and Hilliard Lyons
 Israels & Neuman, PLC Investigates Brandon Stimpson, Formerly of Allegis Investment Services   Have you lost money with financial advisor Brandon Curt Stimpson (CRD# 4299623), formerly of Allegis Investment Services in North Logan, Utah?  We are investigating allegations of former customers related to Brandon Stimpson. Brandon Stimpson and his former brokerage firm, Allegis Investment Services, …
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5
Mar

WARNING! Impending Investigation – HECTOR MAY and SECURITIES AMERICA

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
Hector May, formerly with Securities America, Under Investigation by U.S. Department of Justice   Have you lost money investing through broker Hector May, formerly with Securities America?  Our firm is investigating whether Hector A. May from New City, New York misappropriated funds from customers.   According to FINRA’s BrokerCheck, Hector May was terminated by his …
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1
Mar

WARNING! Impending Investigation: KENNETH CHRISTMAN and STIFEL NICOLAUS

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
 Israels & Neuman, PLC Investigates Kenneth Christman of Stifel Nicolaus   Have you lost money with financial advisor Kenneth J. Christman, Jr. (CRD# 4306483), with Stifel Nicolaus in Poughkeepsie, New York?  We are investigating allegations of former customers related to Kenneth Christman. Kenneth Christman and his brokerage firm, Stifel Nicolaus, were the subject of a …
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1
Mar

INVESTOR ALERT! WESTERN INTERNATIONAL SECURITIES

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Western International Securities Settles with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with Western International Securities?  We are currently investigating allegations made against Western International Securities, Inc., a Pasadena, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Western International …
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27
Feb

WARNING! Investigation: PHILLIP JOHNSON of SUNTRUST Investments

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Phillip Johnson, formerly with SunTrust Investment Services, Suspended 3 Months   Have you lost money with financial advisor Phillip Johnson of Nashville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Phillip Andrew Johnson. FINRA suspended Johnson from the securities industry for three months and fined him $5,000 regarding allegations …
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26
Feb

Losses Due to CAROLINE KORN of BRIGHTON SECURITIES? Can You Recover Your Money?

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Caroline Korn, formerly with Brighton Securities Corp., Suspended Four Months   Have you lost money with financial advisor Caroline Korn from Rochester, New York?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Caroline Korn and her former brokerage firm, Brighton Securities Corp.  In December 2017, FINRA …
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26
Feb

WARNING! Impending Investigation – JEFFREY PALISH

WARNING! Jeffery Kelly
JEFFREY PALISH, FORMERLY WITH WELLS FARGO, BARRED FROM THE SECURITIES INDUSTRY   Have you lost money with financial advisor Jeffrey Palish of Paramus, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Howard Palish. FINRA barred Palish from the securities industry regarding allegations that he violated FINRA rules …
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20
Feb

MARCUS PARKER Investment Losses – Can You Get Your Money Back?

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
Marcus Parker, formerly with Wells Fargo, Barred from the Securities Industry   Have you lost money with financial advisor Marcus Parker of Santa Fe, New Mexico?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Marcus Duane Parker. FINRA barred Parker from the securities industry after he failed to respond to …
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20
Feb

Victims of JERRY SIMPSON: Information on Money Recovery

WARNING! Jeffery Kelly
Jerry Simpson, formerly with Thrivent Investment Management, Barred from the Securities Industry   Have you lost money with financial advisor Jerry Simpson of Madisonville, Kentucky?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jerry Wayne Simpson. FINRA barred Simpson from the securities industry after he failed to respond to a …
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