DACULA, GEORGIA Have you lost money with financial advisor Eric Hollifield, formerly with LPL Financial in Dacula, Georgia? We are looking into allegations made against Eric Hollifield. Hollifield has been the subject of a recent customer complaint, alleging that Hollifield misappropriated or stole $1.24 million from the customer. Shortly after the complaint was filed, Hollifield…
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Investigation of George McCaffrey Regarding Greenhouse Building and Leasing Company ENGLEWOOD, COLORADO – Have you lost money with financial advisor George McCaffrey from Englewood, Colorado? We are continuing to look into allegations made by FINRA (the Financial Industry Regulatory Authority) against George L. McCaffrey III. In 2018, FINRA suspended McCaffrey from the securities industry for…
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BETHESDA, MARYLAND – Have you lost money with financial advisor Daniel Don Jossen? We are looking into allegations made about Daniel Jossen from Bethesda, Maryland. FINRA (the Financial Industry Regulatory Authority) barred Jossen from the securities industry. FINRA alleged that Jossen has failed to respond to its investigation regarding allegations that he misrepresented the terms…
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PARAMUS, NEW JERSEY – Have you lost money with financial advisor Robert A. Lax, formerly of Park Avenue Securities in Paramus, New Jersey? We are looking into allegations made against Robert Lax. Robert Lax has been barred from the securities industry by FINRA. It was alleged that Lax engaged in outside business activities while he…
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ORLAND PARK, ILLINOIS – Have you lost money with financial advisor Eric P. Burton. of Orland Park, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eric Burton. FINRA suspended Burton for three months and fined him $5,000. Burton was being investigated regarding allegations that he falsified documents in connection…
Continue reading ›Israels & Neuman, PLC Investigates Jeffrey Gitterman of Triad Advisors, for Selling Unsuitable GPB Capital Investments EDISON, NEW JERSEY – Have you lost money with financial advisor Jeffrey Gitterman, formerly of Triad Advisors in Edison, New Jersey? We are looking into allegations made against Jeffrey Gitterman. Jeffrey Gitterman has been the subject of three (3)…
Continue reading ›Carlos Hurtado, formerly with Spartan Capital Securities, Barred by FINRA NEW YORK, NY – Have you lost money with financial advisor Carlos A. Hurtado. of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Carlos Hurtado. FINRA barred Hurtado after he failed to respond to an investigation.…
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Financial Advisor Accused of Concentrating Investments in Business Development Companies BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in BDCs,…
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Israels & Neuman, PLC Investigates Scott Niekamp, of Northwestern Mutual CHESTERFIELD, MISSOURI – Have you lost money with financial advisor Scott Niekamp, of Northwestern Mutual in Chesterfield, Missouri? We are looking into allegations made against Scott Niekamp, who has been the subject of four (4) customer complaints, all made since 2018. Some of the complaints…
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Israels & Neuman, PLC Investigates Financial Advisor, Tyler Rigsbee SACRAMENTO, CALIFORNIA – Have you lost money with financial advisor Tyler Rigsbee, formerly of Wells Fargo in Sacramento, California? We are looking into allegations made against Tyler Rigsbee, who was fired by Wells Fargo in 2021. It was alleged that Rigsbee received client funds in his…
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