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16
Nov

WARNING! Investigation of THOMAS OMARK of Erie, Pennsylvania

INVESTOR ALERT! Parkland Securities and ETFs
INVESTOR WARNING!  Thomas Omark from Erie, Pennsylvania   Have you lost money with financial advisor Thomas Omark of Erie, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas E. Omark.  FINRA alleged that Omark executed trades in at least four customer accounts without prior written authorization from the customers, …
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16
Nov

UPDATE! Claus Foerster Sentenced to Only Two Years for $3 Million Ponzi Scheme

WARNING! Michael Giokas
Claus Foerster, Former Raymond James and Morgan Keegan Advisor, Sentenced to Only Two Years for $3 Million Ponzi Scheme   Have you lost money investing with Claus Foerster of Greenville, South Carolina?  According to wsoctv.com, Foerster was indicted in March 2016 for running a $3 million Ponzi scheme.  Foerster was previously employed as a financial advisor …
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15
Nov

WARNING! Investigation of LINCOLN FINANCIAL SECURITIES and CONSOLIDATED REPORTS

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
INVESTOR WARNING!  Lincoln Financial Securities Corp. and Consolidated Reports   We are currently investigating allegations made against Lincoln Financial Securities Corp., a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lincoln Financial Securities Corp., making allegations regarding its failure to supervise consolidated reports from December 2010 …
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15
Nov

WARNING! Investigation: PAUL ALEXANDER of PALM BEACH GARDENS, FL

INVESTOR ALERT! Noel Carino and General Securities Corp
INVESTOR WARNING!  Paul Alexander from Palm Beach Gardens, Florida   Have you lost money with financial advisor Paul Alexander of Palm Beach Gardens, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul M. Alexander, Jr. FINRA suspended Alexander for 20 days regarding allegations that he exercised discretionary power in …
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14
Nov

WARNING! Investigation of JONATHAN ALTMAN and REVERE SECURITIES

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
Jonathan Altman, Revere Securities LLC Sued by Massachusetts Securities Division   Have you lost money with financial advisor Jonathan Altman of New York, New York?  We are investigating allegations made by the Massachusetts Securities Division against Jonathan E. Altman, a former advisor at Revere Securities LLC.  Revere Securities is based out of New York, New …
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14
Nov

1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
1st Discount Brokerage Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against 1st Discount Brokerage, a Lake Worth, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against 1st Discount Brokerage.  FINRA alleged that 1st Discount Brokerage failed to have procedures in place to …
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12
Nov

ISRAELS & NEUMAN, PLC – MARYLAND SECURITIES ATTORNEYS

Maryland Securities Attorneys
Maryland Securities Arbitration and Investment Fraud Attorneys   Sections 301 and 703 of the Maryland Securities Act   Have you lost money with a financial advisor in Maryland? Israels & Neuman are securities arbitration and investment fraud attorneys that represent Maryland residents who have been wronged by their stockbrokers and brokerage firms.  We have previously …
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11
Nov

WARNING! Investigation of STEPHEN WINKELMAN from WICHITA, KS

INVESTOR ALERT! Frederick Holloway
WARNING!  Stephen Winkelman from Wichita, Kansas   Have you lost money with financial advisor Stephen Winkelman of Wichita, Kansas?  We are continuing our investigation into allegations made the Kansas Securities Commission, against Stephen E. Winkelman, Jr.  The Kansas Securities Commission revoked Winkelman’s securities license after he failed to respond to an investigation.   Kansas was …
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11
Nov

WARNING! Investigation of KEVIN M. REED of FORT WAYNE, INDIANA

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
INVESTOR WARNING!  Kevin M. Reed from Fort Wayne, Indiana   Have you lost money with financial advisor Kevin M. Reed of Fort Wayne, Indiana?  We are investigating allegations made by the Oklahoma Securities Commission, against Kevin Mark Reed. Oklahoma seeks to bar Reed from the securities industry regarding allegations that he altered customer documents.   …
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11
Nov

WARNING! Investigation of BECKY HALPHIN of KANSAS CITY, MISSOURI

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
INVESTOR WARNING!  Becky Halphin from North Kansas City, Missouri   Have you lost money with financial advisor Becky Halphin of North Kansas City, Missouri?  We are investigating allegations made by the Missouri Securities Division, against Becky V. Halphin.   The Missouri Securities Division alleged that Becky Halphin borrowed money from at least two customers of …
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