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16
Aug

INVESTOR WARNING! Fortius Financial Advisors and Gary E. Oliver

INVESTOR ALERT! Cory Williams
Fortius Financial Advisors, LLC and Gary E. Oliver   Have you lost money with investment advisor Gary E. Oliver from Salt Lake City, Utah? We are investigating allegations made by the Securities and Exchange Commission (SEC) against Gary E. Oliver, the advisory firm that he previously worked for (Fortius Financial Advisors), and Fortius’ founder and …
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15
Aug

INVESTOR WARNING! Robert Heath of Highlands Ranch, Colorado

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
Robert Heath of Highlands Rach, Colorado   Have you lost money with financial advisor Robert Heath of Highlands Ranch and Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert E. Heath. FINRA was investigating Heath regarding allegations that he borrowed money from a customer, in violation of …
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11
Aug

INVESTOR WARNING! Advisor Joey Broussard of Allen, TX

INVESTOR ALERT: Peter Bill of Trading Block (AOS) in Berlin, NH
 INVESTOR ALERT!  Investigation of Joey Broussard of Allen, Texas   Have you lost money with financial advisor Joey Broussard of Allen, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joey C. Broussard. FINRA barred Broussard from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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11
Aug

INVESTIGATION NOTICE: Advisor David Gray of Denver, Colorado

INVESTOR ALERT! Susan Welo
INVESTIGATION NOTICE: Advisor David Gray of Denver, Colorado   Have you lost money with financial advisor David Gray of Denver, Colorado?  We are investigating allegations made by the Securities and Exchange Commission (SEC), against David R. Gray II. The SEC was investigating allegations that Gray stole money from an elderly customer.   According to the …
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9
Aug

INVESTOR ALERT! ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against ProEquities, Inc., a Birmingham, Alabama-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against ProEquities, making numerous allegations regarding its conduct, including: a) failure to supervise the sales of non-traditional ETFs; b) failure …
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6
Aug

ISRAELS & NEUMAN, PLC — GEORGIA SECURITIES ATTORNEYS

Georgia
ISRAELS & NEUMAN, PLC – Georgia Securities Attorneys   Sections 5-50 and 5-58 of the Georgia Uniform Securities Act.   Israels & Neuman are securities arbitration and investment fraud attorneys that have represented numerous Georgia residents who have been wronged by their stockbrokers and brokerage firms.  Our investment fraud attorneys have previously represented investors in …
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6
Aug

WARNING! Impending Investigation: PAUL STEFFANY and RAYMOND JAMES AND ASSOCIATES, INC.

INVESTOR ALERT! Travis Hudak
Paul Steffany and Raymond James and Associates, Inc.   Have you lost money with financial advisor Paul Steffany of Wilton, Connecticut?  We are investigating allegations made by the Arizona Corporation Commission against Steffany.  Arizona alleged that Steffany stole at least $112,000 from a testamentary trust for which he served as a trustee.  Arizona alleged that …
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6
Aug

UPDATE! Tracy Wengert and TransAmerica Financial Advisors

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Tracy Wengert and TransAmerica Financial Advisors   Have you lost money with financial advisor Tracy Wengert of Mesa, Arizona?  We are investigating allegations made by the Arizona Corporation Commission against Wengert.  Arizona alleged that he induced customers of his brokerage firm, TransAmerica Financial Advisors, to open up separate accounts at TD Ameritrade, in which he …
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5
Aug

INVESTOR ALERT! Jon Schmidhammer, Financial Advisor Arrested

ALERT! Curtis Ile of Sigma Financial Suspended, Mount Carmel Illinois
INVESTOR ALERT:  Jon Schmidhammer, Financial Advisor Arrested.   Our law firm is currently investigating allegations surrounding the arrest of financial advisor Jon Schmidhammer of Dublin, Ohio.  Israels & Neuman’s investigation commenced in response to an article in the Columbus Dispatch that reports that Jon Schmidhammer was arrested on August 1, 2016, after he confessed to …
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