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1
Apr

WARNING! Impending Investigation–H. BECK, LASALLE STREET SECURITIES and J.P. TURNER & CO.

H. Beck, LaSalle Street Securities, and J.P. Turner & Co. FINRA recently brought regulatory actions against three member firms for their failure to supervise consolidated reports sent to clients.  FINRA (the Financial Industry Regulatory Authority) brought claims against H. Beck, LaSalle Street Securities, and J.P. Turner & Company, alleging that they failed to properly supervise …
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1
Apr

WARNING! Impending Investigaion–MOODY SECURITIES LLC and MOODY NATIONAL REIT I

Moody Securities LLC and Moody National REIT I   We are currently investigating allegations made against Moody Securities LLC, a Houston, Texas-based securities brokerage firm.  Moody Securities is primarily a wholesaling dealer-manager of the Moody National REIT I, a publicly-held, non-traded REIT (or real estate investment trust).  Moody Securities derives virtually all of its income …
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30
Mar

UPDATE! Investigation of FRANCIS V. LORENZO and HUNTER WISE SECURITIES LLC

Francis V. Lorenzo and Hunter Wise Securities LLC Have you lost money with financial advisor Francis V. Lorenzo?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Francis Lorenzo, a financial advisor from New York City.  The SEC alleges that Lorenzo violated securities rules and regulations when he solicited investors to …
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30
Mar

SEC Charges New York Based Brokerage Firm Macquarie Capital

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23222 / March 27, 2015 Securities and Exchange Commission v. Macquarie Capital (USA) Inc. et al., Civil Action No. 15-CV-02304 SEC Charges New York-Based Brokerage Firm with Faulty Underwriting of Public Offering by China-Based Company   The Securities and Exchange Commission today announced charges against a New …
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30
Mar

WARNING! Impending Investigation–MACQUARIE CAPITAL USA INC. and PUDA COAL

Macquarie Capital (USA) Inc. and Puda Coal Have you lost money investing in Puda Coal?  We are investigating allegations made by the SEC (the Securities and Exchange Commission), which recently settled claims against New York-based brokerage firm Macquarie Capital (USA), Inc., in connection with Macquarie Capital’s underwriting of a Puda Coal stock offering (symbol PUDA). …
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30
Mar

WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS

Raymond T. Clark and Dynasty Capital Partners Have you lost money with financial advisor Raymond T. Clark from Buffalo, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Clark.  FINRA filed a regulatory complaint against Clark in November 2014 for allegations regarding that he excessively traded or …
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26
Mar

WARNING! Impending Investigation–TERRI LYNN ANDERSON and CETERA FINANCIAL SPECIALISTS

Terri Lynn Anderson and Cetera Financial Specialists Have you lost money with financial advisor Terri Lynn Anderson of Springfield, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Terri Lynn Anderson.  Anderson was barred from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating …
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26
Mar

WARNING! Impending Investigation–RAYMOND D. SCHMIDT and LPL FINANCIAL

Raymond D. Schmidt and LPL Financial Have you lost money with financial advisor Raymond D. Schmidt from Oceanside, California? We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Raymond Schmidt.  FINRA recently barred Schmidt from the securities industry for borrowing money from clients, which is a violation of securities regulations …
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26
Mar

UPDATE! Kirsten Flynn Hawkins Barred From Securities Industry

Kirsten Flynn Hawkins and SunTrust Investment Services Inc. Have you lost money with Kirsten Flynn Hawkins from Staunton, Virginia?  We previously blogged that on January 16, 2015, Kirsten Hawkins pled guilty to three counts of wire fraud in the Western District of Virginia in Lynchburg.  Hawkins’ plea also called for restitution of $500,000 for victims, …
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25
Mar

ATTORNEY DAVID NEUMAN SUCCESSFULLY APPEALS CLASS SETTLEMENT

Attorney David Neuman Successfully Appeals a Limited-Fund, Non-Opt Out Class Settlement   Israels & Neuman PLC is proud to announce that attorney David Neuman has successfully overturned a limited fund, non-opt-out class settlement with a former securities broker-dealer.   Mr. Neuman, along with co-counsel Gail Boliver, opposed a proposed class action settlement made with former FINRA …
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