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31
Mar

WARNING! Impending Investigation: LORI COUSINEAU WEAVER and AMERIPRISE FINANCIAL SERVICES

Investor ALERT! Robert Spiegel of First Standard Financial in Staten Island, NY
Investigation of Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial Services   Have you lost money with financial advisor Lori Cousineau Weaver from Renton, Washington?  We are continuing our investigation allegations made against Cousineau Weaver.  The Washington Division of Securities brought a regulatory complaint against Lori Cousineau Weaver and her former brokerage firm, Ameriprise Financial …
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31
Mar

WARNING! Impending Investigation: JOSEPH JACOBY, LEGEND SECURITIES, and ETFs

Joseph Jacoby, Legend Securities, and ETFs   Have you lost money with financial advisor Joseph L. Jacoby from Las Vegas, Nevada? We are investigating allegations made by the Utah Division of Securities against Joseph Jacoby.  Utah seeks to bar Jacoby from the securities industry after he engaged in unsuitable and aggressive trading, that he excessively …
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28
Mar

UPDATE! William Johnson and RedRidge Securities

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Investigation of Eric William Johnson and RedRidge Securities   Have you lost money in Eric William Johnson from Hinsdale, Illinois?  Eric William Johnson was recently barred by FINRA, the Financial Industry Regulatory Authority, for stealing money from his customers’ accounts and depositing the money into his own personal accounts.  The Securities and Exchange Commission also …
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28
Mar

WARNING! Impending Investigation: DAVID J. ESCARCEGA and CENTER STREET SECURITIES

INVESTIGATION OF Jed Tinder
Investigation of David J. Escarcega and Center Street Securities                                                       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 statements in connection with …
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28
Mar

WARNING! Impending Investigation: DANIEL RIVERA and HORTER INVESTMENT MANAGEMENT, LLC

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Investigation of Daniel Rivera and Horter Investment Management, LLC   Have you lost money with financial advisor Daniel Rivera of Staten Island, New York?  We are investigating allegations made by the SEC (Securities and Exchange Commission) against Daniel Rivera. The SEC filed a complaint in the District Court of New Jersey, alleging that Daniel Rivera …
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28
Mar

WARNING! Impending Investigation: JEFFREY RODGERS and MORGAN STANLEY, INC.

INVESTIGATION OF Jed Tinder
Investigation of Jeffrey Rodgers and Morgan Stanley, Inc.   Have you lost money with financial advisor Jeffrey Rodgers of Bend, Oregon?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey E. Rodgers. FINRA suspended Rodgers from the securities industry for two years after he failed to fully cooperate with a …
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25
Mar

ISRAELS & NEUMAN, PLC – MASSACHUSETTS SECURITIES ATTORNEYS

ISRAELS & NEUMAN, PLC – Massachusetts Securities Attorneys   Sections 101 and 410 of the Massachusetts Uniform Securities Act.   Israels & Neuman are securities arbitration and investment fraud attorneys that represent Massachusetts investors who have been harmed by their stockbrokers and brokerage firms.  Our investment fraud attorneys have previously represented investors in Massachusetts, including …
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24
Mar

UPDATE! Lombard Securities Settles with FINRA

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Lombard Securities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional …
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24
Mar

WARNING! Impending Investigation: KENT SALCEDO and BANCWEST INVESTMENT SERVICES

INVESTOR ALERT! Travis Hudak
Kent Salcedo, formerly of BancWest Investment Services, Suspended by FINRA for Six Months   Have you lost money with representative Kent Salcedo of Honolulu, Hawaii?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kent Salcedo. FINRA alleged that Salcedo forged signatures on a number of customer documents, including suitability forms, …
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