Customer Alert: FINRA Complaint Filed Against Spartan Capital Securities – Atlas Funds Investigated FINRA Complaint Filed Against Spartan Capital Securities – Atlas Funds Investigated According to FINRA’s complaint in Proceeding No. 2021069218305, Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik recommended and sold interests in multiple private placement offerings (“the Atlas Funds”) between March 2021 and October …
Investor Alert: James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension
Investor Alert: James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension James Eugene Holmes III – Termination, Customer Complaint & FINRA Suspension Former Wells Fargo broker James Eugene Holmes III was terminated after allegations that he exercised unauthorized discretion in customer accounts. JAMES EUGENE HOLMES III CRD#: 2174697 Holmes now faces a pending customer complaint. The customer is seeking …
Investor Alert: Gustave “Gus” J. Schmidt Jr. – StraightPath Sales Under Review
Investor Alert: Gustave “Gus” J. Schmidt Jr. – StraightPath Sales Under Review Gustave “Gus” J. Schmidt Jr. (CRD 2709698) – StraightPath Sales Under Review Goodman & Nekvasil, P.A. is investigating potential claims on behalf of investors who purchased StraightPath Offerings through broker Gustave J. Schmidt Jr. (CRD 2709698). The broker is currently registered with INVESTMENT NETWORK, INC. in SMITHTOWN, NY. …
Investor Alert: FINRA Customer Complaint Filed Against Philip Hoang — May Recover Losses
Investor Alert: FINRA Customer Complaint Filed Against Philip Hoang Investors should be aware that FINRA BrokerCheck records reflect a recent customer complaint filed against Philip Hoang alleging significant investment losses. Philip Hoang (also known as Philip Thien Hoang, Philip Hoang, Thien P. Hoang, Thien Philip Hoang; CRD #5134140) is a broker and financial adviser for MORGAN STANLEY in Menlo Park, CA. …
Customer Alert: FINRA Suspends Broker Barry Buchholz – May Recover Investor Losses
Customer Alert: FINRA Suspends Broker Barry Buchholz – May Recover Investor Losses FINRA Suspends Broker Barry Buchholz BARRY LUTHER BUCHHOLZ BARRY LUTHER BUCHOLZ CRD#: 1583582 Customer Alert: FINRA Suspends Broker Barry Buchholz FINRA has suspended former LPL Financial broker Barry Luther Buchholz (CRD 1583582) after finding that he executed multiple unauthorized mutual fund trades in non-discretionary customer accounts. According to FINRA’s …
Investor Alert: Complaint Filed Against Ian Christopher McElreath — May Recover Losses
Investor Alert: Ian Christopher McElreath (CRD 4754189) Investors should be aware that Ian Christopher McElreath (CRD 4754189), formerly registered with Emerson Equity LLC and most recently with Foreside Fund Services, LLC, is the subject of a customer complaint filed in September 2025. According to publicly available regulatory sources, the complaint alleges that McElreath recommended unsuitable investments, including debt securities, and …
Investor Alert: Complaint Filed Against Adam Ross Shipley — May Recover Losses
Investor Alert: Complaint Filed Against Adam Ross Shipley — May Recover Losses ADAM ROSS SHIPLEY CRD#: 6482848 Investors should be aware that Adam Ross Shipley, a registered broker with Emerson Equity LLC and an investment adviser representative with NorthWoods Financial Partners LLC, is the subject of a recently filed customer arbitration. According to FINRA records, a complaint filed in October …
Investor Alert: Complaint Filed Against Thomas John “TJ” Shopa Jr. — May Recover Losses
Investor Alert: Complaint Filed Against Thomas John “TJ” Shopa Jr. — May Recover Losses THOMAS JOHN SHOPA JR. TJ SHOPA CRD#: 4182416 A recent customer complaint is raising concerns for investors who worked with or were advised by Thomas John “TJ” Shopa Jr., a registered broker and investment adviser with EQUITABLE ADVISORS, LLC. According to FINRA records, a customer filed …
IBRAHIM ETHEM KURTULUS – JOSEPH STONE CAPITAL L.L.C. Broker Suspended by FINRA – May Recover Investor Losses
IBRAHIM ETHEM KURTULUS – JOSEPH STONE CAPITAL L.L.C. Broker Suspended by FINRA – May Recover Investor Losses IBRAHIM ETHEM KURTULUS – JOSEPH STONE CAPITAL L.L.C. Broker Suspended by FINRA. IBRAHIM ETHEM KURTULUS CRD#: 2287372 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. IBRAHIM ETHEM KURTULUS (CRD#: 2287372), a broker for JOSEPH STONE CAPITAL …
Lawsuit Alleges Inspired Healthcare Capital Insolvent | Goodman & Nekvasil, P.A.
Lawsuit Alleges Inspired Healthcare Capital Insolvent | Goodman & Nekvasil, P.A. Goodman & Nekvasil, P.A. is investigating potential claims on behalf of investors who purchased investments offered by Inspired Healthcare Capital, LLC (“IHC”) based on recent allegations that Inspired Healthcare Capital is Insolvent. Our law firm has already filed numerous claims against broker-dealers on behalf of investors who purchased IHC …