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16
Jun

WARNING! Impending Investigation: JAMES M. HAM and FIRST INDEPENDENT FINANCIAL SERVICES, INC.

James M. Ham and First Independent Financial Services, Inc. Have you lost money with financial advisor James M. Ham of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James Ham.  Ham was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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12
Jun

WARNING! Impending Investigation: MARK A. BULLIVANT and RAYMOND JAMES and ASSOCIATES

Mark A. Bullivant and Raymond James and Associates Have you lost money with financial advisor Mark A. Bullivant of Fort Myers, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Mark Bullivant.  Bullivant was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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11
Jun

WARNING! lmpending Investigation: FREDERICK E. MONROE CHARGED WITH RUNNING $1 MILLION PONZI SCHEME

Albany Financial Advisor Frederick E. Monroe Charged with Running $1 Million Ponzi Scheme   Have you lost money with financial advisor Frederick E. Monroe from Albany, New York?  We are investigating allegations made by the NY Attorney General Eric T. Schneiderman against Fred Monroe.  According to the Times Union Capitol Confidential, Monroe was charged with …
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10
Jun

WARNING! Impending Investigation: CCO INVESTMENT SERVICES CORP. and GEORGE JONES LINCOLN aka “RIP” LINCOLN

Israels & Neuman, PLC Investigates Orders Entered by the Vermont Division of Securities Related to George Jones Lincoln (a/k/a George Jones “Rip” Lincoln) and CCO Investment Services Corp.   Have you lost money with George Jones Lincoln (a/k/a George Jones “Rip” Lincoln) or CCO Investment Services Corp.?   On February 24, 2014, the Vermont Division …
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8
Jun

WARNING! Impending Investigation: BRUCE MEYERS and MEYERS ASSOCIATES, L.P.

Israels & Neuman, PLC Investigates Allegations and Proceedings Brought by the Connecticut Banking Commissioner Against Meyers Associates, L.P. and Bruce Meyers.   Meyers Associates L.P. (CRD No. 34171) is a broker-dealer with its primary office located in New York, New York.  Bruce Meyers (CRD No. 1045447) is the Chief Executive Officer of Meyers Associates and …
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5
Jun

WARNING! Impending Investigation: MATT MABERRY, ETFs, and MUTUAL FUNDS

Matt Maberry, ETFs, and Mutual Funds   Have you lost money with financial advisor Matt Maberry from Alton, Illinois? We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority) against Matt Maberry, and his supervisor Gregory H. Bray.  FINRA alleged that Maberry bought and sold a number of non-traditional ETFs, also known …
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1
Jun

WARNING! Impending Investigation: WILLIAM M. QUIGLEY OF TRIDENT PARTNERS CHARGED WITH FRAUD

William M. Quigley, Former Compliance Officer at Trident Partners, Ltd., Charged with Fraud Have you lost money with financial advisor William M. Quigley from Seaford and Woodbury, New York?  We are investigating allegations made by the SEC and reported by InvestNews.com made against Quigley.   The SEC alleged that William Michael Quigley, the former Chief Compliance …
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27
May

WARNING! Impending Investigation: ALEJANDRO A. TORRES and WELLS FARGO ADVISORS

Alejandro A. Torres and Wells Fargo Advisors Have you lost money with financial advisor Alejandro Ariel Torres from Hollywood and Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alejandro Torres.  FINRA alleges that Acevedo stole at least $59,600 from a 64-year old elderly widow.  FINRA barred Torres from …
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