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29
Jun

UPDATE! JAMES PARRELLY of Investment Planners is BARRED

Losses with James Parrelly of Investment Planners in Dearborn, MI
James Parrelly, Formerly with Investment Planners, Barred from Securities Industry DEARBORN, MICHIGAN Our investment fraud law firm is continuing to review allegations made against James Parrelly from Dearborn, Michigan and his former brokerage firm, Investment Planners.  In April 2021, a customer complained that Parrelly engaged in unsuitable trading activity.  The claim was brought against Investment …
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29
Jun

WILLIAM FUENTES of Centaurus Financial Involved in GWG L Bond Sales

Losses with Rene Bolivar
Centaurus Financial Advisor William Fuentes and GWG L Bonds SIMI VALLEY, CALIFORNIA Have you invested in GWG L Bonds with financial advisor William Fuentes from Simi Valley, California? Our law firm is looking into William Fuentes, who has worked with Centaurus Financial since January 2019.  Upon a review of publicly available documents from the GWG …
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28
Jun

ALAN ROOF DOUGLASS of Investacorp Involved in REIT Complaints

Losses with Michael Young of Classic Asset Management in Fargo, ND
Former Investacorp Broker Alan Roof Douglass Subject of Multiple Complaints CLEARWATER, FLORIDA Did you lose money investing with financial advisor Alan Roof Douglass, also known as Roof Douglass, formerly with Investacorp and now with Securities America in Clearwater, Florida?  We are reviewing allegations related to several customer complaints that were recently filed in FINRA arbitration …
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22
Jun

BRIAN DONNELLY of First Allied SUSPENDED for Private Transactions

Losses with Archibald McMichael of Lifemark Securities in Wayne, PA
Brian Donnelly Formerly with First Allied Suspended by FINRA ISELIN, NEW JERSEY Did you lose money with stockbroker Brian Donnelly, formerly with First Allied Securities?  Our investment fraud law firm is reviewing allegations made about Brian Donnelly.  In June 2022, FINRA (the Financial Industry Regulatory Authority) suspended Donnelly from the securities brokerage industry for four …
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22
Jun

JAMIE NOWAKOWSKI Involved in Unsuitable Sales of GWG L Bonds

Losses with Christopher Harrington of Laidlaw and Company in New York, NY
 Jamie Nowakowski with Coastal Equities and GWG L Bond Sales HEBRON CONNECTICUT Have you lost money in GWG L Bonds through Jamie Nowakowski in Hebron, Connecticut?  According to FINRA’s BrokerCheck, Jamie Nowakowski and her former brokerage firm, Coastal Equities, are the subject of a $100,000 customer complaint made in May 2022.  The May 2022 complaint …
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21
Jun

Complaints Against JEFFREY EGLOW of Newbridge Securities

Losses with Nicholas Huniak of Country Capital Management in Granite City, IL
 Jeffrey Eglow of Newbridge Securities Subject of Customer Complaint BOCA RATON, FL Are you a current or former client of financial advisor Jeffrey Eglow, with Newbridge Securities Corp. in Boca Raton, Florida?  Our securities and investment fraud law firm is looking into a customer complaint that was recently filed in FINRA arbitration against Newbridge Securities …
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20
Jun

Timothy Higgins of Spartan Capital Involved in Multiple Customer Complaints

Losses with Michael Brickman of Pruco Securities in Paramus, NJ
Timothy Higgins, Formerly of Spartan Capital, Subject of FINRA Complaint GARDEN CITY, NY Are you a former client of Timothy Higgins, formerly with Spartan Capital Securities in Garden City, New York?  Our law firm is reviewing allegations made by FINRA against Timothy Patrick Higgins.  FINRA seeks to bar him from the securities brokerage industry because …
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17
Jun

RON BAKER of Richfield Orion Involved in Unsuitable Investments

Losses with Charles Ron Baker of Richfield Orion International in Castle Rock, CO
Richfield Orion Advisor Charles Ron Baker Barred by FINRA CASTLE ROCK, COLORADO Are you a former or current customer of Richfield Orion International advisor Ron Baker from Castle Rock, Colorado?  Our Denver, Colorado-based securities arbitration firm is reviewing claims made by FINRA, against Charles Ron Baker.  Baker violated FINRA Rule 8210 by failing to respond …
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17
Jun

ALLISON SHAFER of Edward Jones is BARRED by FINRA

Losses with Allison Shafer of Edward Jones in Morgantown, WV
Allison Shafer, formerly with Edward Jones, Barred by FINRA MORGANTOWN, WEST VIRGINIA Our investment fraud law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Allison Shafer, who is from Morgantown, West Virginia.  Shafer was barred from the securities industry after she failed to respond to FINRA’s investigation.  FINRA began its …
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17
Jun

ANTHONY LIDDLE of Western International Securities is BARRED

Losses with Chip Wodrich of Hornor Townsend and Kent in Goodyear, AZ
Anthony Liddle, Formerly with Western International Securities and Landolt Securities, Barred by FINRA WAUSAU WISCONSIN Have you lost or lent money with financial advisor Anthony Liddle from Wausau, Wisconsin?  Israels & Neuman is looking into claims made by FINRA, against Anthony Baker Liddle.  In May 2022, Anthony Liddle was “permitted to resign” by his former …
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