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23
Jan

PAULSON INVESTMENT COMPANY Fined for Selling VRSPs

Losses with Michael Young of Classic Asset Management in Fargo, ND
 FINRA Fines Paulson Investment Company Over Variable Interest Rate Structured Products LAKE OSWEGO, OREGON  Have you invested in variable interest rate structured products (VRSPs) through Paulson Investment Company?  Our Pacific Northwest law firm is reviewing claims by FINRA against this brokerage firm. According to a recent Letter of Acceptance, Waiver and Consent, FINRA alleged that between …
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20
Jan

TRAVIS HANSBERGER of Thrivent Accused of Unsuitable Investments

Losses with Travis Hansberger of Thrivent Investment Management in St. Louis Park, MN
 CFP Board Bars Travis Hansberger From Using CFP Designation ST. LOUIS PARK, MINNESOTA  Our securities arbitration law firm is reviewing allegations made against Travis Hansberger of St. Louis Park, MN.  The Certified Financial Planner (CFP) Board announced that it permanently barred him from using the CFP designation. The CFP Board alleged that Hansberger recommended unsuitable …
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19
Jan

Advisor NICHOLAS HUNIAK Fired for Naming Himself as Beneficiary

Losses with Nicholas Huniak of Country Capital Management in Granite City, IL
Nicholas Huniak Fired By Country Capital Management Company GRANITE CITY, ILLINOIS Have you invested with financial advisor Nicholas Huniak from Granite City, Illinois? We are reviewing allegations made against Nicholas Huniak.  According to FINRA’s BrokerCheck, Nick Huniak was fired by Country Capital Management Company in November 2022. BrokerCheck further reveals that Huniak was terminated after …
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27
Dec

COMPLAINTS Against PEDRO ESCOBAR of Suntrust for GIC Sales

Losses with Pedro Escobar of Suntrust Investment Services in Miami, FL
 Pedro Escobar, Formelry with Suntrust, Subject of Complaint Involving GIC MIAMI, FLORIDA Are you a current or former customer of advisor Pedro Escobar, who previously worked with Suntrust Investment Services in Miami, Florida?  We are reviewing claims made by a customer against Pedro Jose Escobar.  Suntrust Investment Services and Pedro Escobar are the subject of …
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27
Dec

JOHN TERZIS Barred For “Borrowing” Money From Elderly Client

Losses with Sean Fields of PFS Investments in Concord, CA
John Terzis, Formerly with LPL Financial, Barred by FINRA SKOKIE, ILLINOIS Have you lent money to financial advisor John Terzis from Skokie, Illinois?  Our law firm is reviewing allegations made by FINRA, against John N. Terzis.  FINRA barred Terzis from the securities industry after he “borrowed” money from a customer, in violation of FINRA Rules …
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21
Dec

COMPLAINTS Against DESIDERIO TORREZ of PFS INVESTMENTS

Losses with Rene Bolivar
Desiderio Torrez, Formerly with PFS Investments SAN DIEGO, CALIFORNIA Israels & Neuman is reviewing allegations made against financial advisor Desiderio Torrez, formerly with PFS Investments (Primerica Financial) in San Diego, California.  Our securities arbitration law firm is looking into a regulatory action that was initiated by FINRA against Desiderio Torrez.  Mr. Torrez was barred by …
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20
Dec

JOHN MATSON of LPL Financial is BARRED

Losses with Elan Sanker of Merrill Lynch in Pennington, NJ
 John Matson, Formerly with LPL Financial, Barred from Securities Industry Manhattan Beach, California  Have you lost money with advisor John Matson in Manhattan Beach, California? Israels & Neuman is looking into claims made against John N. Matson, who previously worked for LPL Financial.  A review of FINRA’s Disciplinary Database shows that Matson was expelled from …
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15
Dec

OFG FINANCIAL SERVICES Fined $45,000 For Supervision Failures

Losses with Michael Young of Classic Asset Management in Fargo, ND
OFG Financial Services Fined by FINRA TOPEKA, KANSAS The Financial Industry Regulatory Authority (FINRA) recently fined one of its members and securities brokerage firms, OFG Financial Services.  OFG Financial Services is based out of Topeka, Kansas. According to FINRA’s AWC with OFG Financial Services, FINRA began its investigation after OFG Financial reported that one of …
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