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21
Jul

UPDATE! David Escarcega PERMANENTLY BARRED from Securities Industry

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
David Escarcega, formerly of Center Street Securities, Has Expulsion from Securities Industry Upheld   Have you lost money with financial advisor David Escarcega of Phoenix, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David J. Escarcega. FINRA barred Escarcega after he was alleged to have made false and misleading …
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19
Jul

Investor Alert! JAMES MAENDEL/LPL FINANCIAL – Troy, MI

INVESTOR ALERT! William Wobbe, Hilliard Lyons in Louisville KY
James Maendel, formerly of LPL Financial, Suspended from Securities Industry for Forty-Five Days   Have you lost money with financial advisor James Maendel of Troy, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James D. Maendel. FINRA suspended Maendel from the securities industry for forty-five days and fined him …
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16
Jul

UPDATE! Daniel Hushek SUSPENDED from Securities Industry

INVESTOR ALERT! Halil Kozi of PHX Financial in New York, NY
Daniel Hushek, Supervisor of Richard Martin, both formerly with G.F. Investment Services, Suspended from Securities Industry for Fifteen Months   Have you lost money with financial advisor Richard W.L. Martin from Miami, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Martin.  FINRA alleged that Martin used unsuitable trading …
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13
Jul

Israels & Neuman Law Firm Files Claim Against NATIONAL PLANNING CORP. Regarding WILLIAM GLASER

Investment scam: LPL Financial
Israels & Neuman Law Firm files FINRA Arbitration Claim Against National Planning Corp. Regarding its Former Advisor, William Glaser St. Louis, Missouri   FOR IMMEDIATE RELEASE Israels & Neuman, PLC announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against National Planning Corp. on behalf of an aggrieved investor.  The arbitration claim or complaint …
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13
Jul

Investor Alert! DAVID GOTT – Tipton, IA

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
David Gott, formerly of Ausdal Financial Partners, Suspended Six Months from the Securities Industry   Have you lost money with financial advisor David Gott of Tipton, Iowa?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against David G. Gott.  FINRA alleged that Gott solicited four investors to invest $546,000 in a …
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12
Jul

UPDATE! KORY KEATH – Enumclaw, WA

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Kory Keath, formerly of Edward Jones, Barred from Securities Industry   Have you lost money with financial advisor Kory Keath of Enumclaw, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kory P. Keath. FINRA brought a regulatory complaint against Kory Keath, alleging that she violated FINRA rules when she …
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