Articles Posted in Denver

JAMES PELLETIERE of Pruco Securities is BARRED
Israels & Neuman, PLC

James Pelletiere, formerly with Pruco Securities, Barred by FINRA DOWNERS GROVE, ILLINOIS Did you invest with financial advisor James Pelletiere, formerly with Pruco Securities? We are reviewing claims made against James Pelletiere from Downers Grove, Illinois. In October 2023, FINRA (the Financial Industry Regulatory Authority) barred Pelletiere from the securities industry. FINRA alleged that he…

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COMPLAINTS Against GREGORY IGLOW of Oppenheimer
Israels & Neuman, PLC

Gregory Iglow, with Oppenheimer & Co., Subject of Complaints LOS ANGELES, CALIFORNIA Did you lose money with financial advisor Gregory Iglow with Oppenheimer & Co. in Los Angeles, California? Our law firm is looking into claims made by current or former clients Gregory Iglow, who has been a representative of Oppenheimer since June 2007. According…

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UPDATE! Advisor Chad Mackland Charged with FRAUD
Israels & Neuman, PLC

COUNCIL BLUFFS, IOWA Have you lost money with financial advisor Chad M. Mackland of Council Bluffs, Iowa? We are continuing to look into allegations made against Mackland. The SEC recently barred Mackland from the securities industry in any capacity. Mackland was charged with multiple felonies related to insurance sales practices. In March 2021, FINRA, the…

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GEORGE McCAFFREY of NTB Financial is Now BARRED
Israels & Neuman, PLC

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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Investor Alert: DANIEL JOSSEN of NYLife is BARRED
Israels & Neuman, PLC

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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Investigation of ERIC BURTON, Cetera Advisors and LPL Financial
Israels & Neuman, PLC

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…

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CARLOS HURTADO Accused of Engaging in Private Securities Sales
Israels & Neuman, PLC

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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KEVIN McCALLUM of LPL Ordered to Pay $1.2 Million for Losses in BDC’s
Israels & Neuman, PLC

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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MARC REDA Involved in Allegations of Excessive Trading
Israels & Neuman, PLC

Marc Reda, with Spartan Capital Securities, Subject of FINRA Complaint NEW YORK, NY – Have you lost money with financial advisor Marc A. Reda of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Marc Reda. FINRA alleged that Reda made unsuitable recommendations by excessively trading (or…

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WARNING: Advisor Daniel Della Rosa is SUSPENDED
Israels & Neuman, PLC

Daniel Della Rosa, formerly with Corinthian Partners and Paulson Investment Company, Suspended by FINRA TAMPA, FLORIDA – Have you lost money with financial advisor Daniel Della Rosa (Daniel Dellarosa) of Tampa, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Della Rosa. FINRA suspended Della Rosa after he failed…

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