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6
Aug

DEBRA MAE CARTER of KMS Financial Sentenced for PONZI Scheme

Losses with Debra Mae Carter of KMS Financial in Weatherford, TX
Former KMS Financial Advisor Debra Mae Carter Sentenced to Prison WEATHERFORD, TEXAS     Did you invest with Debra Mae Carter in Weatherford, Texas? She previously worked with KMS Financial, and was recently sentenced to life in prison for her role in William “Doc” Gallagher’s Ponzi scheme.  Over $30 million was stolen from victims in Gallagher’s scheme. …
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1
Aug

GARRETT MORETZ of Lifemark Securities Charged with FRAUD

Losses with Garrett Moretz of Lifemark Securities in Mooresville, NC
Garrett Moretz with Lifemark Securities Charged by SEC MOORESVILLE, NORTH CAROLINA     Did you lose money with financial advisor Garrett Moretz with Lifemark Securities in Mooresville, North Carolina?  He was recently charged with fraud by the Securities and Exchange Commission (SEC). The SEC filed a complaint against this advisor, alleging that he repeatedly misrepresented the risks …
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26
Jul

SCOTT TAUBMAN of Ameriprise Financial is SUSPENDED

Losses with Scott Taubman of Ameriprise Financial in Peoria, AZ
Former Ameriprise Financial Services Advisor Scott Taubman Suspended PEORIA, ARIZONA     Did you lose money with financial advisor Scott Taubman from Peoria, Arizona? He  was suspended for four months by FINRA.  FINRA began its investigation after he was “permitted to resign” by his former brokerage firm, Ameriprise Financial Services.  Mr. Taubman was under internal investigation by …
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16
Jul

JEFFREY HIGGINS of Western International is BARRED

Losses with Jeffrey Higgins of Western International in Baker City, OR
 Jeffrey Higgins, Formerly with Western International Securities, Barred from Securities Industry BAKER CITY, OREGON     Are you a former client of financial advisor Jeffrey Higgins? Our Pacific Northwest law firm is looking into allegations against Jeffrey Higgins, who previously worked with Western International Securities and Financial West Group. Higgins was expelled from the securities brokerage industry …
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18
Jun

JOHN KASEL of US Bancorp Attempts to Expunge His Record

Losses with John Kasel of US Bancorp in Seattle, WA
 John Kasel, Formerly with US Bancorp Investments, Loses Arbitration Hearing to Expunge His Record SEATTLE, WASHINGTON     Did you invest with stockbroker John Kasel in Seattle, Washington? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against John Kasel, who was formerly with US Bancorp Investments.  FINRA’s Arbitration Award Database …
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