SEC Names Robert D Welsh In Complaint For Allegedly Operating A Massive Ponzi Scheme – Goodman & Nekvasil, P.A. May Recover Investor Losses Dallas-Fort Worth residents Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner were named in the SEC Complaint for operating a Ponzi scheme that raised at least $91 million from more than 200 investors. According …
KYLE KIM – KYO ASSET MANAGEMENT, LLC Investment Adviser Terminated & Suspended – May Recover Investor Losses
KYLE KIM – KYO ASSET MANAGEMENT, LLC Investment Adviser Terminated & Suspended – May Recover Investor Losses KYO ASSET MANAGEMENT, LLC Investment Adviser, KYLE KIM Terminated & Suspended. Kyle Joon Kim KYLE KIM, KYO KIM CRD#: 2446395 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Kyle Joon Kim (CRD#: 2446395), a broker for …
KIERAN JOHN LOUGHRAN – Former Broker Suspended After FINRA Allegations – May Recover Investor Losses
KIERAN JOHN LOUGHRAN – Former Broker Suspended After FINRA Allegations – May Recover Investor Losses Former SPARTAN CAPITAL SECURITIES, LLC broker, KIERAN LOUGHRAN Suspended After FINRA Allegations. KIERAN JOHN LOUGHRAN CRD#: 2826208 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. KIERAN JOHN LOUGHRAN (CRD#: 2826208), a former broker for SPARTAN CAPITAL SECURITIES, LLC …
MANUEL MELENDEZ – Former Investment Adviser Barred by FINRA – May Recover Investor Losses
MANUEL MELENDEZ – Former Investment Adviser Barred by FINRA – May Recover Investor Losses Former UBS FINANCIAL SERVICES INC. Investment Adviser, MANUEL MELENDEZ – Barred by FINRA. MANUEL FRANCISCO MELENDEZ MANUEL F. MELENDEZ GONZALEZ, MANUEL FRANCISCO MELENDEZ GONZALEZ CRD#: 4648278 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. MANUEL FRANCISCO MELENDEZ (CRD#: 4648278), …
CURTIS WAYNE SMITH – Investment Adviser Terminated & Suspended – May Recover Investor Losses
CURTIS WAYNE SMITH – Investment Adviser Terminated & Suspended– May Recover Investor Losses UNITED PLANNERS’ FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER Investment Adviser, CURTIS WAYNE SMITH – Terminated & Suspended. CURTIS WAYNE SMITH CRD#: 1383235 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. CURTIS WAYNE SMITH (CRD#: 1383235), a former broker for …
KELLY MOORE – CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. Investment Adviser Barred – May Recover Investor Losses
KELLY MOORE – CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. Investment Adviser Barred – May Recover Investor Losses KELLY MOORE – CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. Investment Adviser Barred by FINRA. KELLY RAY MOORE CRD#: 1599385 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. KELLY RAY MOORE (CRD#: 1599385), a former broker for CAMBRIDGE INVESTMENT …
MUHAMMAD WAHDY – WAHDY CAPITAL Investment Adviser Terminated & Suspended – May Recover Investor Losses
MUHAMMAD WAHDY – WAHDY CAPITAL Investment Adviser Terminated & Suspended– May Recover Investor Losses WAHDY CAPITAL Investment Adviser, Muhammad Wahdy Terminated & Suspended. Muhammad R Wahdy MUHAMMAD R WAHDY, MUHAMMAD REHMATULLAH WAHDY, MUHAMMAD WAHDY CRD#: 6266210 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Muhammad R Wahdy (CRD#: 6266210), a former broker for …
ERIC KLEINER Terminated After CANNABIS SECURITIES Investor Complaint – Goodman & Nekvasil, P.A. Representing Investors
ERIC KLEINER Terminated After CANNABIS SECURITIES Investor Complaint – Goodman & Nekvasil, P.A. Representing Investors Former MORGAN STANLEY investment adviser, ERIC KLEINER Terminated After CANNABIS SECURITIES Investor Complaint. Goodman & Nekvasil, P.A. is Representing Former Customers of Kleiner for Terrascend Stock Purchases and Mismanagement of their Portfolios ERIC BRIAN KLEINER ERIC KLEINER CRD#: 4135180 Call 800-500-4442 if you purchased investments …
Tom Rapp – Investment Adviser Suspended & Fined – May Recover Investor Losses
Tom Rapp – Investment Adviser Suspended & Fined – May Recover Investor Losses Former M HOLDINGS SECURITIES, INC. investment adviser, Tom Rapp – Suspended & Fined. THOMAS ANTHONY RAPP CRD#: 6367780 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. THOMAS ANTHONY RAPP (CRD#: 6367780), a former registered representative for M HOLDINGS SECURITIES, INC. …
Michael Lancaster – Investment Adviser Terminated & Barred – May Recover Investor Losses
Michael Lancaster – Investment Adviser Terminated & Barred – May Recover Investor Losses Edward Jones investment adviser, Michael Lancaster – Terminated & Barred. Michael Lancaster Michael Ray Lancaster CRD#: 6992330 Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser. Michael Ray Lancaster (CRD#: 6992330), a former registered representative for Edward Jones in LINCOLN, NE, …