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9
Feb

LPL Advisor HOWELL FERGUSON of Bellville, TX SUSPENDED

Losses with Clarice Saw of Cetera Investment in Flushing, NY
BELLVILLE, TEXAS Our securities arbitration law firm is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Howell Ferguson.  Howell Gregg Ferguson worked at First National of Bellville and also had his securities license through LPL Financial.  He was alleged to have forged two documents by signing an LPL customer’s name without …
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7
Feb

JAMES COUTURE of LPL Now Charged With WITNESS TAMPERING

Losses with Louis Peter Goff of Wells Fargo in Salt Lake City, UT
WORCESTER, MASSACHUSETTS Things continue to get worse for former LPL financial advisor James Couture.  Couture was previously criminally charged with defrauding investors in 2021 by the U.S. Attorney’s Office in Massachusetts.  Now, additional criminal charges of witness tampering have been added. Couture was told by prosecutors not to have any contact with his investment fraud …
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3
Feb

LPL Financial Advisor PAUL McGONIGLE Charged with FRAUD

Paul McGonigle of LPL Financial in Massachusetts Charged with Fraud
Investment Adviser Fraud and Money Laundering MIDDLEBORO, MASSACHUSETTS Our law firm is continuing to look into allegations made against former LPL Financial advisor Paul R. McGonigle from Middleboro, Massachusetts.  Paul McGonigle was previously barred from the securities industry by FINRA (the Financial Industry Regulatory Authority). On February 1, 2022, the U.S. Attorney’s Office for the …
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3
Feb

FINRA Bars Advisor FRANK CID (Francis Cid) of CBC Securities

Losses with Joe David Gainer of Wells Fargo in Marianna, FL
NEW YORK FINRA (the Financial Industry Regulatory Authority) barred Francis Cid also known as Frank Cid from the securities industry in January 2022.  FINRA was investigating an entity that Cid controls, and FINRA had concerns that Cid was engaging in private securities transactions.  Cid, who previously was affiliated with CBC Securities, refused to cooperate with …
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3
Feb

Advisor MICHAEL KNITTEL Suspended for Sales of SCHMOOK RANCH

Losses with Robert Gleason Jr. of Cantella & Co. in Owenboro, KY
EL DORADO HILLS, CALIFORNIA Our securities arbitration law firm is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael Knittel.  FINRA suspended Michael Knittel, who previously was affiliated with Fortune Financial Services, for four months regarding allegations that he sold investments in an LLC to four investors.  The investment is believed …
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2
Feb

JOSHUA NICHOLAS Barred by FINRA for Allegations of Conversion

Losses with Clarice Saw of Cetera Investment in Flushing, NY
STUART, FLORIDA JDN Capital is an LLC owned by Joshua D. Nicholas.  JDN Capital was an entity registered with the National Futures Association (NFA), which purportedly engaged in futures trading.  In 2021, the NFA reached a settlement with JDN Capital which barred JDN Capital from the futures industry regarding allegations that Nicholas converted or misappropriated …
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