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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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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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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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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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 transactions.…
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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 misrepresentations…
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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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NEW YORK, NY Have you lost money with John Lowry, with Spartan Capital Securities in New York, New York? We are looking into allegations made against John Lowry. Lowry has been the subject of an investigation by FINRA. FINRA is investigating whether Lowry had willfully failed to timely amend Forms U4 to disclose arbitration filings…
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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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BRECKSVILLE, OHIO Have you lost money with financial advisor Albert DeGaetano, formerly with Edward Jones in Brecksville, Ohio? We are looking into allegations made against Albert DeGaetano. DeGaetano was suspended from the securities industry for six months and fined $7,500 by FINRA. FINRA was investigating whether DeGaetano had exercised discretion in a customer’s account without…
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