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20
Apr

WARNING! Impending Investigation: GERARD FAGNANT and LPL FINANCIAL

WARNING! Roger Kroeger
Investigation of Gerard Fagnant and LPL Financial   Have you lost money with financial advisor Gerard Fagnant of Leominster, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gerard A. Fagnant. FINRA barred Fagnant from the securities industry after he allegedly borrowed $325,000 from firm customers.  FINRA alleged that Fagnant …
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20
Apr

WARNING! Impending Investigation: SCOTT MUIRHEAD and MERRILL LYNCH

INVESTIGATION OF Jed Tinder
Investigation of Scott Muirhead and Merrill Lynch   Have you lost money with financial advisor Scott Muirhead of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Scott Muirhead. FINRA barred Muirhead from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Muirhead …
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20
Apr

WARNING! Impending Investigation: ALAN CASHAW JR. and FSC SECURITIES CORP.

Investigation of Alan Cashaw Jr. and FSC Securities Corp.   Have you lost money with financial advisor Alan Cashaw of Philadelphia, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alan Cashaw, Jr.. FINRA barred Cashaw from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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20
Apr

ISRAELS & NEUMAN, PLC – VERMONT SECURITIES ATTORNEYS

ISRAELS & NEUMAN – Vermont Securities Attorneys   Sections 5501 and 5509 of the Vermont Securities Act.   Israels & Neuman are securities arbitration and investment fraud attorneys that represent Vermont residents who have been wronged by their stockbrokers and brokerage firms.  Our law firm represents investors in all 50 states, including investors in Vermont. …
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19
Apr

WARNING! Impending Investigation: CHRIS PALKOWITSH and EXCESSIVE TRADING

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Chris Palkowitsh, and Excessive Trading   We are currently investigating allegations made against Chris L. Palkowitsh, a financial advisor from Redlands, California who previously worked with Equinox Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Palkowitsh and Equinox Securities making various allegations, including that a) Palkowitsh engaged in excessive trading …
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15
Apr

Purshe Kaplan Sterling Investments Settles with FINRA Regarding Failure to Supervise its Representative’s Outside Business Activities

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
Purshe Kaplan Sterling Investments, Inc. Settles with FINRA Regarding Failure to Adequately Supervise its Representatives’ Outside Business Activities   We are currently investigating allegations made against Purshe Kaplan Sterling Investments, Inc., a Albany, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Purshe Kaplan Sterling Investments, making numerous …
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15
Apr

ISRAELS & NEUMAN, PLC – TENNESSEE SECURITIES ATTORNEYS

ISRAELS & NEUMAN, PLC
ISRAELS & NEUMAN, PLC – Tennessee Securities Attorneys   Sections 121 and 122 of the Tennessee Securities Act   Israels & Neuman are investment fraud and securities arbitration attorneys that represent Tennessee residents who have been wronged by their stockbrokers and brokerage firms.  Our investment fraud attorneys have previously represented investors in Tennessee, including former …
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14
Apr

UPDATE! Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Investigation of Leonard A. Goldberg, Newport Coast Securities, and J.P. Turner   Have you lost money with financial advisor Leonard A. Goldberg from Palm Springs, California?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Goldberg. FINRA alleged that Leonard Goldberg made unsuitable recommendations to his customers to switch …
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13
Apr

WARNING! Impending Investigation: ROBERT SCHULTZ and KEY INVESTMENT SERVICES, LLC

WARNING! Arthur Meunier and Arthur Breitman
Investigation of Robert Schultz and Key Investment Services, LLC   Have you lost money with financial advisor Robert Schultz of Bellingham, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert W. Schultz. FINRA barred Schultz from the securities industry after he failed to disclose a theft conviction.   FINRA …
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