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7
May

COMPLAINTS Against ROBERT D’AGOSTA of Berthel Fisher & Company

Losses with Cheryl Kitashima of Centaurus Financial and Kitashima Wealth Advisors GWG L Bond investments in Bellevue, WA
 Robert D’Agosta, with Berthel Fisher & Company, Subject of Several Customer Complaints CENTER VALLEY, PENNSYLVANIA Our securities arbitration law firm is looking into allegations made by customers of financial advisor Robert D’Agosta, with Berthel Fisher & Company.  Robert D’Agosta, who worked in an offices in Center Valley and Bethlehem, Pennsylvania, has been the subject of …
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6
May

LOSSES with BRIAN KENNEDY of Lincoln Financial in Oil & Gas

Losses with Kieran Loughran of Spartan Capital in New York, NY
Securities Fraud Law Firm Investigates Brian Kennedy, Formerly with Lincoln Financial Advisors, Regarding Oil and Gas Investments CAMP HILL, PENNSYLVANIA Are you a current or former client of financial advisor Brian Kennedy, formerly with Lincoln Financial Advisors in Camp Hill, Pennsylvania?  The law firm of Israels & Neuman is reviewing customer complaints made against Brian …
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5
May

COMPLAINTS Against MICHAEL CHRISTOPHER BLUMER of SW Financial

Losses with Michael Valenta of Cambridge Investment Research in Westminster, CO
Michael Christopher Blumer, with SW Financial, Subject of Multiple Customer Complaints MELVILLE, NEW YORK Are you a former client of Michael Christopher Blumer, a financial advisor who has worked with SW Financial in Melville, New York?  Our firm is looking into allegations made by customers of SW Financial and Michael Christopher Blumer.  According to BrokerCheck, …
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3
May

SEC Complaint Against ANTHONY PRIETO of Signator Investors

Losses with Anthony Prieto of Signator and Royal Alliance in Tampa, FL
Anthony Prieto, Formerly of Signator Investors and Royal Alliance, Named in SEC Complaint TAMPA, FLORIDA Are you a current or former client of financial advisor Anthony Prieto, formerly of Royal Alliance and Signator Investors (Signator Financial) in Tampa, Florida?  The investment fraud law firm of Israels & Neuman is looking into allegations made against Anthony …
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28
Apr

Investigation of THOMAS BAUMANN of Spartan Capital Securities

Losses with John Kasel of US Bancorp in Seattle, WA
Thomas Baumann, Formerly with Spartan Capital Securities, Subject of FINRA Investigation NEW YORK, NY Are you a former client of Thomas Baumann, a financial advisor who previously worked with Spartan Capital Securities in New York?  FINRA has been investigating Mr. Baumann, for excessively trading or churning customers’ accounts.  FINRA alleged that this type of trading …
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28
Apr

Investor Alert! SHAWN PARKER of Ameriprise is BARRED

Losses with Michael Grande of Newbridge Securities in Fort Lauderdale, FL
Shawn Parker, formerly with Ameriprise Financial Services, Barred by FINRA SCHAUMBURG, ILLINOIS Have you invested with former Ameriprise financial advisor Shawn Parker of Schaumburg, Illinois?  Our investment fraud law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Shawn Parker.  In April 2022, FINRA barred Parker from the securities industry regarding …
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