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30
Mar

WARNING! Impending Investigation–MACQUARIE CAPITAL USA INC. and PUDA COAL

Macquarie Capital (USA) Inc. and Puda Coal Have you lost money investing in Puda Coal?  We are investigating allegations made by the SEC (the Securities and Exchange Commission), which recently settled claims against New York-based brokerage firm Macquarie Capital (USA), Inc., in connection with Macquarie Capital’s underwriting of a Puda Coal stock offering (symbol PUDA). …
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30
Mar

WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS

Raymond T. Clark and Dynasty Capital Partners Have you lost money with financial advisor Raymond T. Clark from Buffalo, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Clark.  FINRA filed a regulatory complaint against Clark in November 2014 for allegations regarding that he excessively traded or …
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26
Mar

WARNING! Impending Investigation–TERRI LYNN ANDERSON and CETERA FINANCIAL SPECIALISTS

Terri Lynn Anderson and Cetera Financial Specialists Have you lost money with financial advisor Terri Lynn Anderson of Springfield, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Terri Lynn Anderson.  Anderson was barred from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating …
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26
Mar

WARNING! Impending Investigation–RAYMOND D. SCHMIDT and LPL FINANCIAL

Raymond D. Schmidt and LPL Financial Have you lost money with financial advisor Raymond D. Schmidt from Oceanside, California? We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Raymond Schmidt.  FINRA recently barred Schmidt from the securities industry for borrowing money from clients, which is a violation of securities regulations …
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26
Mar

UPDATE! Kirsten Flynn Hawkins Barred From Securities Industry

Kirsten Flynn Hawkins and SunTrust Investment Services Inc. Have you lost money with Kirsten Flynn Hawkins from Staunton, Virginia?  We previously blogged that on January 16, 2015, Kirsten Hawkins pled guilty to three counts of wire fraud in the Western District of Virginia in Lynchburg.  Hawkins’ plea also called for restitution of $500,000 for victims, …
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25
Mar

ATTORNEY DAVID NEUMAN SUCCESSFULLY APPEALS CLASS SETTLEMENT

Attorney David Neuman Successfully Appeals a Limited-Fund, Non-Opt Out Class Settlement   Israels & Neuman PLC is proud to announce that attorney David Neuman has successfully overturned a limited fund, non-opt-out class settlement with a former securities broker-dealer.   Mr. Neuman, along with co-counsel Gail Boliver, opposed a proposed class action settlement made with former FINRA …
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20
Mar

WARNING! Impending Investigation–TIMOTHY D. MORAN, FSC SECURITIES CORP. and HAMPTON CAPITAL MARKETS

Timothy D. Moran, FSC Securities Corporation, and Hampton Capital Markets Have you lost money with financial advisor Timothy D. Moran?  We are investigating allegations made by the Arizona Corporation Commission against Timothy D. Moran, who is a financial advisor from Scottsdale, Arizona.  Moran had his securities licensed revoked because of his connection with a private …
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19
Mar

WARNING! Impending Investigation–SALVATORE GIOE, PHX FINANCIAL, and LEGEND SECURITIES

Salvatore Gioe, PHX Financial, and Legend Securities Have you lost money with financial advisor Salvatore Gioe?  We are investigating allegations made by the Arkansas Securities Department against Salvatore Gioe, from New York, New York.  The Arkansas Securities Department recently suspended Gioe for one year for a failure to abide by a previous regulatory order.  Under …
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19
Mar

WARNING! Impending Investigation–LOENID YUROVSKY and ETFs

Leonid Yurovsky and ETFs   We are currently investigating allegations made against Leonid Yurovsky, a financial advisor from New York, New York.  The Arkansas Securities Department brought a regulatory action against Leonid Yurovsky, alleging that he made excessive trades (or churned) a customer’s account, charging over $106,000 in commissions in a 19-month period from March …
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13
Mar

PRESS RELEASE! CNL Lifestyle Properties REIT Announces Significant Drop in Value

CNL Lifestyle Properties REIT Announces Significant Drop in Value In a recent filing with the Securities and Exchange Commission (SEC), CNL Lifestyle Properties, a non-traded REIT or Real Estate Investment Trust, announced that the net asset value (NAV) of its shares dropped 24%.  The NAV dropped from $6.85 in 2013 to $5.20 currently.  CNL Lifestyle …
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