Israels & Neuman, PLC | Blog | Securities & Investment Fraud Law Firm

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2

Jun

UPDATE: James Couture of LPL Financial Facing Criminal Charges

James Couture of LPL Financial in Worcester, MA Charged with Fraud

WORCESTER, MASSACHUSETTS Have you lost money with financial advisor James Couture? We are continuing to look into allegations made about James K. Couture from Worcester, Massachusetts. In 2020, FINRA (the Financial Industry Regulatory Authority) barred Couture from the securities industry. FINRA alleged that Couture has failed to respond to its investigation. Couture was being investigated …
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2

Jun

Warning: JAMES FLOWER of Melville, NY is BARRED

Losses with Allison Shafer of Edward Jones in Morgantown, WV

James Flower, of SW Financial and Spartan Capital Securities, Barred by FINRA Have you lost money with financial advisor James William Flower from Melville, New York? We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against James or Jim Flower. In 2020, FINRA filed a complaint against Flower regarding …
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1

Jun

Warning: JEFFREY WARREN of Oppenheimer is BARRED

Losses with Joe David Gainer of Wells Fargo in Marianna, FL

BOCA RATON, FLORIDA Have you lost money with financial advisor Jeffrey Warren of Boca Raton, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Warren. FINRA barred Warren after he failed to respond to an investigation. Warren was being investigated after a customer complained that he received a gift …
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1

Jun

COMPLAINTS About LJM Preservation and Growth Fund

Losses with Pedro Escobar of Suntrust Investment Services in Miami, FL

Complaints Against Anthony Caine, Anish Parvataneni, LJM Funds Management Have you lost money investing in the LJM Preservation and Growth Fund? The Securities and Exchange Commission filed a complaint against LJM Funds Management, the company who managed the LJM Preservation and Growth Fund. The SEC also named the two primary portfolio managers, Anthony Caine and …
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26

May

Investigation of MARK JUST of Triad Advisors

INDIANAPOLIS, INDIANA Have you lost money with financial advisor Mark W. Just, of Triad Advisors in Indianapolis, Indiana? We are looking into allegations made against Mark Just. Mark Just has been the subject of eight customer complaints, some of them alleging unsuitable recommendations to invest in private REITs (or real estate investment trusts) and BDCs …
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21

May

COMPLAINTS Against PHILLIP ANDERSON of Kingswood Capital

Losses with Archie Blood of Cambridge Investment Research in Grand Rapids, MI

ROSEVILLE, CALIFORNIA — Israels & Neuman, PLC Investigates PHILLIP CURTIS ANDERSON of Kingswood Capital Partners Have you lost money with financial advisor Phillip Curtis Anderson, of Kingswood Capital Partners in Roseville, California? We are looking into allegations made against Phillip Anderson, who has been the subject of two customer complaints, one which was …
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21

May

Warning: MERCER HICKS of Southeast Investments is Now BARRED

PINEHURST, NC Have you lost money with financial advisor Mercer Hicks III? We are continuing to look into allegations made about Mercer Toby Hicks III from Pinehurst, North Carolina. In 2019, FINRA (the Financial Industry Regulatory Authority) filed a complaint Hicks. FINRA alleges that Hicks recommended the purchase of speculative non-traded REITs (real estate investment …
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19

May

Investigation of CHANDER GOEL of MML Investors

losses with Arkady Ginsburg of Aegis Capital in New York, NY

NEW YORK, NY Have you lost money with financial advisor Chander K. Goel of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Chander Goel. FINRA barred Goel after he failed to respond to an investigation. Goel was being investigated for issues related to disclosure of outside …
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18

May

Investigation of STEVEN KWAN of Madison Ave Securities

Losses with Shirley Wong of NI Advisors in Daly City, CA

AUSTIN, TEXAS — Have you lost money with financial advisor Steven Kwan, of Madison Avenue Securities in Austin, Texas? We are looking into allegations made against Steven Kwan, who has been the subject of two customer complaints, once which was filed in 2021. The customers alleged that Kwan sold them unsuitable investments in GPB Capital …
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18

May

Investigation of ERIC DADE of ProEquities- Charlotte, NC

Losses with Raul Benitez of Suntrust Investment in Miami, FL

CHARLOTTE, NORTH CAROLINA – Have you lost money with financial advisor Eric J. Dade, formerly of ProEquities in Charlotte, North Carolina? We are looking into allegations made against Eric Dade, who has been the subject of three (3) customer complaints, two which was filed in 2021. The customers alleged that Dade sold them unsuitable BDCs …
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UPDATE: James Couture of LPL Financial Facing Criminal Charges

SEARCH OUR BLOGS

2

UPDATE: James Couture of LPL Financial Facing Criminal Charges

2

Warning: JAMES FLOWER of Melville, NY is BARRED

1

Warning: JEFFREY WARREN of Oppenheimer is BARRED

1

COMPLAINTS About LJM Preservation and Growth Fund

26

Investigation of MARK JUST of Triad Advisors

21

COMPLAINTS Against PHILLIP ANDERSON of Kingswood Capital

21

Warning: MERCER HICKS of Southeast Investments is Now BARRED

19

Investigation of CHANDER GOEL of MML Investors

18

Investigation of STEVEN KWAN of Madison Ave Securities

18

Investigation of ERIC DADE of ProEquities- Charlotte, NC