Kurt Berry, Formerly with Regulus Advisors, Subject of Oil & Gas investment Customer Complaint LOVES PARK, ILLINOIS Are you a former customer of Kurt Berry, formerly with Regulus Advisors, in Loves Park, Illinois? FINRA’s BrokerCheck (attached below) shows that Berry was the subject of a customer complaint made in November 2023 regarding oil and gas…
Continue reading ›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…
Continue reading ›Stephen Sperling, with Wintrust Investments, Subject of Several Complaints PALATINE, ILLINOIS Have you invested with Stephen Sperling from Palatine, Illinois? Our investment fraud and securities arbitration law firm is reviewing claims made by a former client of Stephen J. Sperling, with Wintrust Investments. View his BrokerCheck Report HERE. Sperling has been a registered representative of…
Continue reading ›Helen Caldwell, Formerly with Citigroup Global Markets, Barred from Securities Industry CHICAGO, ILLINOIS Did you invest with stockbroker Helen Caldwell in Chicago, Illinois? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Helen Caldwell. FINRA’s Disciplinary Database shows that earlier this month, she was barred from the securities…
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WHEATON, ILLINOIS Have you lost money with financial advisor Deborah L. Herrmann, formerly with Transamerica Financial Advisors in Wheaton, Illinois? We are looking into allegations made against Deborah Herrmann. Herrmann was barred from the securities industry after she failed to respond to a FINRA investigation. Deborah Herrmann was being investigated after she failed to disclose…
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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…
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