Worden Capital Management Settles with FINRA for Over $1.5 Million Regarding Supervisory Failures We are currently investigating allegations made against Worden Capital Management, a New York, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Worden, making allegations that it failed to adequately supervise customer accounts for excessive …
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James J. Oliver, formerly Ameritas Investment Corp., Subject of South Dakota Complaint Dakota Dunes, SD Have you lost money with financial advisor James J. Oliver of Dakota Dunes, South Dakota?  We are investigating allegations made by the South Dakota Division of Insurance  against James Oliver.  South Dakota alleged that Oliver made a private investment without …
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Glendale, AZ Todd Elliott, formerly of Wealth Watch Advisors, Subject of Arizona Securities Complaint Have you lost money with financial advisor Todd Elliott of Glendale, Arizona?  We are looking into allegations made against Todd Regan Elliott.  The Arizona Corporation Commission alleged that Elliott raised money for EquiAlt debentures, which turned out to be a Ponzi …
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Terry Tzagarakis, formerly with Spartan Capital Securities, Suspended by FINRA for Three Months Have you lost money with financial advisor Terry Tzagarakis?  We are looking into allegations made about Terry Tzagarakis from New York, New York.  FINRA (the Financial Industry Regulatory Authority) suspended Terry Tzagarakis from the securities industry for three months and ordered a …
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LPL Financial Settles with FINRA for $6.5 Million Regarding Supervisor and Record Retention Failures We are currently investigating allegations made against LPL Financial, a Fort Mill, South Carolina-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the brokerage firm (who also has major offices in Boston and San Diego), …
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Israels & Neuman, PLC Investigates Christopher Bice, of SagePoint Financial Have you lost money with financial advisor Christopher “Cubby” Bice (CRD# 3222439), of SagePoint Financial, in Greensboro, North Carolina?  We are investigating allegations of former customers related to Christopher Bice. Christopher Bice’s BrokerCheck report, a public record maintained by FINRA, states that Bice has been …
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Israels & Neuman, PLC Investigates Ryan Raskin, Formerly of Merrill Lynch Have you lost money with financial advisor Ryan A. Raskin (CRD# 5539610), formerly of Merrill Lynch, in Beverly Hills, California?  We are investigating allegations of former customers related to Advisor Ryan Raskin. Raskin’s BrokerCheck report, a public record maintained by FINRA, states that he …
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Paul Zakhary, formerly with J.P. Morgan, Suspended by FINRA for Three Months Have you lost money with financial advisor Paul Zakhary?  We are looking into allegations made about Paul R. Zakhary from Ocala, Florida.  FINRA (the Financial Industry Regulatory Authority) suspended Paul Zakhary from the securities industry for three months and ordered a $5,000 fine.  …
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Jaime Sanchez Rivera, formerly with First Southern Securities, Suspended by FINRA for 5 Months Have you lost money with financial advisor Jaime Sanchez Rivera?  We are looking into allegations made about Jaime I. Sanchez Rivera from Guaynabo, Puerto Rico.  FINRA (the Financial Industry Regulatory Authority) suspended him from the securities industry for five months and …
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David Chong, formerly with Wells Fargo, Suspended by FINRA for 11 Months Have you lost money with financial advisor David Chong?  We are looking into allegations made about David Jin Kyu Chong from Pasadena, California.  FINRA (the Financial Industry Regulatory Authority) suspended David Chong from the securities industry for eleven months and ordered a $20,000 …
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