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15
Mar

Complaints Against SHIMSHON PLOTKIN of Independent Financial

Losses with Viqas Akhtar of B Riley Wealth Management in Miami, FL
Shimshon Plotkin, with Independent Financial Group, Subject of Ten Complaints CHEVY CHASE, MARYLAND  Did you have investments with financial advisor Shimshon Plotkin, who has been an advisor with Independent Financial Group in Chevy Chase, Maryland?  Israels & Neuman is examining allegations made by customers of Shimshon Plotkin. Shimshon “Shim” Plotkin had been a representative of …
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13
Mar

JOSE CANDELARIO PADILLA of Nationwide Planning is SUSPENDED

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY
Jose Candelario Padilla, with Nationwide Planning Associates, Suspended GUAYAMA, PUERTO RICO Have you invested with Jose Candelario Padilla from Guayama, Puerto Rico?  The investment fraud and securities arbitration law firm of Israels & Neuman is reviewing claims made by FINRA, against Jose Candelario Padilla.  He has been affiliated Nationwide Planning Associates since September 2016. FINRA’s …
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12
Mar

Complaints Against TAMMIE FARRELL of Capital Investment Group

Losses with Tammie Farrell of Capital Investment Group in Franklin, NC
Tammie Farrell, with Capital Investment Group, Subject of Complaints FRANKLIN, NORTH CAROLINA Did you invest in GWG L bonds with Capital Investment Group?  The investment fraud and securities arbitration law firm of Israels & Neuman is looking into allegations made against Tammie Farrell of Franklin, North Carolina, who has been with Capital Investment Group since …
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10
Mar

KEVIN HOBBS of PFS Investments is BARRED

Losses with Reuben Brown of Edward Jones in Southlake, TX
 Kevin Hobbs, Formerly with PFS Investments, Barred from Securities Industry LAKE WORTH, FLORIDA  Did you invest with stockbroker Kevin Hobbs in Lake Worth, Florida? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Kevin Hobbs.  In March 2023, Hobbs was barred from the securities brokerage industry, because …
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9
Mar

Complaints Against JOSEPH BEAM of Capital Investment for GWG Sales

Losses with Nathan Paulson of APW Capital in Wheaton, IL
Joseph Beam, with Capital Investment Group, Subject of Three Complaints HENDERSONVILLE, NORTH CAROLINA Did you invest in GWG with financial advisor Joseph Beam from Hendersonville, North Carolina? Our investment fraud law firm is looking into allegations made against Joseph Beam, who has been licensed with Capital Investment Group since August 2013. BrokerCheck, which is operated …
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8
Mar

MICHAEL FINNIE of Securities America Accused of Unsuitable Investments

Losses with Matthew Stucke of Cambridge Investment Research in Milton, GA
 Michael Finnie, Formerly of Securities America, Subject of Virginia Regulatory Action  ALEXANDRIA, VIRGINIA  Have you invested with advisor Michael Finnie, formerly with Securities America in Alexandria, Virginia?  The Virginia Corporation Commission brought a regulatory action against Finnie’s former firm, Securities America, in 2021.  Virginia alleged that Michael Finnie made an unsuitable recommendation to invest his …
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