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24
Nov

WARNING: William LeBoeuf of Merrill Lynch and Cetera SUSPENDED

Losses with David Taddeo of LPL Financial in La Mesa, CA
MIAMISBURG, OHIO Have you lost money with financial advisor William LeBoeuf, formerly with Merrill Lynch, in Miamisburg, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William LeBoeuf. FINRA suspended LeBoeuf from the securities industry for one year and fined him $12,500.  FINRA was investigating LeBoeuf for allegations that he …
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23
Nov

Efrain Trujillo of Western International Securities Terminated for Borrowing Money

LOS ANGELES, CALIFORNIA  Have you lost money with financial advisor Efrain Trujillo, formerly with Western International Securities in Los Angeles, California?  We are looking into allegations made against Efrain Trujillo.  Trujillo was discharged from Western International Securities regarding allegations that he borrowed money from a customer.  Generally, advisors cannot borrow money from customers, with limited …
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23
Nov

UPDATE! JAMES SIMPSON of Equitable (AXA) Advisors is BARRED

Losses with James Parrelly of Investment Planners in Dearborn, MI
 James Simpson, Formerly with Equitable (AXA) Advisors, Already Facing Federal Fraud Charges, Now Barred by FINRA TOLEDO, OHIO  Have you lost money with financial advisor James Simpson, formerly with Equitable Advisors (previously AXA Advisors) in Toledo, Ohio?  We are continuing to look into allegations made against James Earl Simpson.  In November 2021, Simpson was barred …
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23
Nov

Warning: CAROLINE REYES MOHAN of LPL Financial is BARRED

Losses with Kyle Baker of
WEST PALM BEACH, FLORIDA  Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to …
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23
Nov

Investment Losses with JEREMIAH ROMAN of PFS Investments

Losses with Robert Luley of Pruco Securities in Charlotte, NC
CORAL SPRINGS, FLORIDA   Have you lost money with financial advisor Jeremiah Roman, formerly with PFS Investments, in Coral Springs, Florida?  We are look into allegations made against Jeremiah Roman. Roman was terminated by PFS Investments in October 2021.  PFS terminated Roman over allegations that he engaged in undisclosed outside business activities and/or private securities …
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23
Nov

Have You Lost Money with WESTPARK CAPITAL and Promissory Notes?

Losses with John Christoforidis of Spartan Capital in Garden City, NY
LOS ANGELES, CALIFORNIA   We are currently investigating allegations made against Westpark Capital, a Los Angeles, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Westpark Capital.  FINRA alleged that Westpark Capital issued $3.9 million in promissory notes of its parent company, Westpark Capital Financial Services, and made negligent …
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22
Nov

RODERICK WHITED of Northwestern Mutual Accused of Stealing Money from Charity

Losses with Rosaline Alam of Pruco Securities in Claremont, CA
GAINESVILLE, FLORIDA  Have you lost money with financial advisor Roderick Whited, formerly with Northwestern Mutual in Gainesville, Florida?  We are looking into allegations made against Roderick Whited.  Whited was barred from the securities industry by FINRA after he was alleged to have misappropriated funds from a charitable event that he organized.   White has since repaid …
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22
Nov

Mark Chamberlain of First Allied Securities, Subject of Several Customer Complaints

Losses with Louis Peter Goff of Wells Fargo in Salt Lake City, UT
Mark Chamberlain, Formerly with First Allied Securities, Subject of Several Customer Complaints Have you lost money with financial advisor Mark Chamberlain, formerly with First Allied Securities in Chesterton, Indiana?  We are looking into allegations made by former customers of Mark W. Chamberlain.  Chamberlain has been the subject of at least seven customer complaints.  One of …
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