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.…
Continue reading ›
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,…
Continue reading ›
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…
Continue reading ›
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…
Continue reading ›
Israels & Neuman, PLC Investigates Kevin Klickna, Formerly of Equitable Advisors and AXA Advisors SPRINGFIELD, ILLINOIS – Have you lost money with financial advisor Kevin Klickna, formerly of Equitable Advisors and AXA Advisors in Springfield, Illinois? We are looking into allegations made against Kevin Klickna, who has been the subject of three (3) customer complaints,…
Continue reading ›
Israels & Neuman, PLC Investigates James Noack, Formerly of Madison Avenue Securities and Commonwealth Financial Network SAN RAMON, CALIFORNIA – Have you lost money with financial advisor James W. Noack, formerly of Madison Avenue Securities and Commonwealth Financial Network in San Ramon, California? We are looking into allegations made against James or Jim Noack, who…
Continue reading ›
Israels & Neuman, PLC Investigates David Wall, Formerly of Voya Financial Advisors SIMPSONVILLE, SOUTH CAROLINA – Have you lost money with financial advisor David Wall, formerly of Voya Financial Advisors in Simpsonville, South Carolina? We are looking into allegations made against David Wall. David Wall has been the subject of four customer complaints, all of…
Continue reading ›
SPRINGFIELD, OHIO – Have you lost money with financial advisor David Maute, formerly of Allstate Financial Services in Springfield, Ohio? We are looking into allegations made against David Maute. David Maute was terminated by Allstate Financial Services after he was alleged to have arranged a loan between himself and a customer. Generally financial advisors cannot…
Continue reading ›
