Timothy O’Brien, with Feltl & Company, Suspended by FINRA Have you lost money with financial advisor Timothy O’Brien?  We are looking into allegations made about Timothy D. O’Brien from Inver Grove Heights, Minnesota.  FINRA (the Financial Industry Regulatory Authority) suspended O’Brien from the securities industry for 45 days and fined him $10,000.  FINRA alleged that …
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Kurt Gunter, with Stifel Nicolaus, Suspended Three Months from Securities Industry Have you lost money with financial advisor Kurt Jason Gunter of Austin, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kurt Gunter. FINRA suspended Gunter from the securities industry for three months and fined him $10,000 after he …
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Matthew Jennings, formerly with Edward Jones, Barred by FINRA Have you lost money with financial advisor Matthew Jennings?  We are looking into allegations made about Matthew T. Jennings from Johnston, Iowa.  FINRA (the Financial Industry Regulatory Authority) barred Matthew Jennings from the securities industry.  FINRA alleged that Matthew Jennings failed to respond to its investigation.  …
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Lynn Cawthorne, Formerly with Cambridge Investment Research, Barred by FINRA Have you lost money with financial advisor Lynn Cawthorne?  We are continuing to look into allegations made about Lynn Dale Cawthorne from Shreveport, Louisiana.  In August 2020, FINRA (the Financial Industry Regulatory Authority) filed a complaint to bar Cawthorne from the securities industry.  FINRA alleged …
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Israels & Neuman, PLC Investigates Keith Ashley, of Parkland Securities Have you lost money with financial advisor Keith T. Ashley, of Parkland Securities, in Carrollton, Texas?  We are investigating allegations of former customers related to Keith Ashley. Keith Ashley’s BrokerCheck report, a public record maintained by FINRA, states that Ashley was recently fired by Parkland …
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Israels & Neuman, PLC Continues to Look Into John Timberlake, Formerly of Suntrust Investment Services and Carter, Terry & Company Have you lost money with financial advisor John H. Timberlake (CRD# 2109445), formerly of Suntrust Investment Services and Carter, Terry & Company, in Atlanta, Georgia?  We are continuing to look into allegations against John Timberlake. …
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David Phillips, previously with ProEquities and Moloney Securities, Suspended by FINRA Have you lost money with financial advisor David or “Todd” Phillips?  We are looking into allegations made about David Todd Phillips from Gilbert, Arizona.  FINRA (the Financial Industry Regulatory Authority) suspended Phillips from the securities industry for nine months and fined him $5,000.  FINRA …
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Five Advisory Firms Fined for Failures with VIX-linked Exchange Traded Notes and Funds Have you lost money investing in the iPath S&P 500 VIX short-term futures ETN (ticker symbol VXX) or ProShares VIX Short-Term Futures ETF (ticker VIXY)?  We are looking into allegations made by the Securities and Exchange Commission (SEC) against several brokerage and …
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Philip Simone, formerly with AXA Advisors, Suspended by FINRA Have you lost money with financial advisor Philip Simone?  We are looking into allegations made about Philip A. Simone from Irvine, California.  FINRA (the Financial Industry Regulatory Authority) suspended Simone from the securities industry for eleven months and fined him $12,500.  FINRA alleged that Simone borrowed …
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John Westbrook, previously with Center Street Securities, Suspended by FINRA Have you lost money with financial advisor John or “Al” Westbrook?  We are looking into allegations made about John Albert Westbrook from Montgomery, Alabama.  FINRA (the Financial Industry Regulatory Authority) suspended Westbrook from the securities industry for five months and fined him $5,000.  FINRA was …
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