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4
Oct

WARNING! Investigation: United Planners Financial Services of America and Consolidated Reports

WARNING! Jeffrey Hill
United Planners Financial Services of America and Consolidated Reports   We are currently investigating allegations made against United Planners Financial Services of America, a Scottsdale, Arizona-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against United Planners Financial Services of America, making allegations regarding its failure to supervise consolidated reports …
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4
Oct

INVESTOR WARNING! Amr Aboulmagd of Horsham, Pennsylvania

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
WARNING!  Amr Aboulmagd of Horsham, Pennsylvania   Have you lost money with financial advisor Amr Aboulmagd of Horsham, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Amr M. Aboulmagd. FINRA barred Aboulmagd from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Aboulmagd …
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4
Oct

INVESTOR WARNING! Paul Smyth from Fairfield, Connecticut

INVESTOR ALERT! Susan Welo
WARNING!  Paul Smyth from Fairfield, Connecticut   Have you lost money with financial advisor Paul Smyth of Fairfield, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul E. Smyth. FINRA barred Smyth from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Smyth …
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4
Oct

INVESTOR WARNING! Peter Kohli of Pottstown, Pennsylvania Sued by SEC for Securities Fraud

INVESTOR ALERT! Cory Williams
Peter Kohli Sued by SEC for Securities Fraud   Have you lost money with financial advisor Peter Kohli of Pottstown, Pennsylvania?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Peter R. Kohli.  The SEC filed a complaint against Peter Kohli in the Eastern District of Pennsylvania in Philadelphia, alleging securities …
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3
Oct

ISRAELS & NEUMAN, PLC – SOUTH CAROLINA INVESTMENT FRAUD ATTORNEYS

South Carolina Attorneys
ISRAELS & NEUMAN, PLC–South Carolina Securities Arbitration and Investment Fraud Attorneys Sections 501 and 509 of the South Carolina Uniform Securities Act   Have you lost money with a financial advisor in South Carolina? Israels & Neuman are securities arbitration and investment fraud attorneys that represent South Carolina residents who have been wronged by their …
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2
Oct

INVESTOR WARNING! Investigation of Alec Rivera from Chicago, Illinois

INVESTOR ALERT! Travis Hudak
WARNING!  Alec Rivera from Chicago, Illinois   Have you lost money with financial advisor Alec Rivera of Chicago, Illinois?  We are investigating allegations made against Alec Rivera, a former financial advisor with Merrill Lynch.  Rivera has allegedly been charged with wire fraud, in which it is alleged that he transferred over $1 million of funds …
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30
Sep

INVESTOR WARNING! Donald Wells and Life Partners, Inc.

INVESTOR ALERT! Susan Welo
WARNING!  Donald Wells and Life Partners, Inc.   Have you lost money with financial advisor Donald Wells in Life Partners, Inc.?  We are continuing our investigation into allegations made by the Washington Securities Division against Donald L. Wells.  Washington alleged that Wells had sold investments in Life Partners, Inc., a purported life settlement firm.  It …
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21
Sep

INVESTOR WARNING! Raymond Adcock, Charles Ferrill, Talon LLC, and Talon Capital LP

INVESTOR ALERT: Peter Bill of Trading Block (AOS) in Berlin, NH
Raymond Adcock, Charles Ferrill, Talon LLC, and Talon Capital LP   We are currently investigating allegations made against Raymond L. Adcock, a financial advisor from Cabot, Arkansas who previously worked with Regal Securities.  The Arkansas Securities Department brought a regulatory action against Mr. Adcock, making allegations that he sold investments in companies called Talon LLC …
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20
Sep

INVESTOR WARNING! Richard Graham and Unit Investment Trusts (UITs)

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Richard Graham, and Unit Investment Trusts (UITs)   We are currently investigating allegations made against Richard D. Graham, a financial advisor from Lafayette, Indiana who previously worked with Huntington Investment Company.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Graham, making allegations that he made unsuitable investment recommendations for his customers …
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19
Sep

INVESTOR WARNING! Douglas Studer of Fort Lauderdale, Florida

WARNING! James McKinney of Cetera Advisors in Tulsa, Oklahoma OK
WARNING!  Douglas Studer of Fort Lauderdale, Florida   Have you lost money with financial advisor Douglas Studer of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas or “Doug” W. Studer. FINRA barred Studer after he failed to respond to an investigation regarding allegations that he was …
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