According to FINRA disciplinary records, Jerry D. McGlothlin was recently barred by FINRA for, among other issues, allegedly engaged in outside business activities without providing his employer (Lincoln Financial Securities Corporation) and for allegedly engaging in private securities transactions outside of the firm. This type of misconduct is generally known ... Read More
Jul
16
Jul
03
Investors who lost money investing with Burim Turkaj may be able to recover their losses through securities arbitration. According to news reports, Burim Turkaj was recently charged with four counts of theft from the elderly, four counts of criminal use of personal ID information and one count of fraudulent use ... Read More
Jun
11
Investors who invested with Robert A. Gist, ENCAP Technologies, and/or Gist, Kennedy & Associates may be able to recover their losses through securities litigation or arbitration. According to a recent FINRA disciplinary report, Robert A. Gist was permanently barred by FINRA for allegedly misappropriating several million dollars from approximately 30 ... Read More
May
28
Investors who loaned S. Mark Powell money on the promise of high rates of guaranteed returns may be able to recover their losses through securities litigation or arbitration. Upon information and belief, while S. Mark Powell served as the managing partner of Atlantic Trust Private Wealth Management group’s Austin, Texas ... Read More
Apr
02
Investors who have suffered investment losses investing with Thomas Redmond, Jr. may be able to recover their losses through FINRA arbitration. According to recent news reports, ten counts of securities fraud have been filed against Thomas H. Redmond, Jr. by the Marion County Prosecutor's Office for defrauding at least 10 ... Read More
Mar
28
If you have invested in privately held companies such as Hydro Phi Technologies, Inc. that were recommended by a FINRA registered broker such as Richard W. Preston of Hope, Maine, you may legal claims that can be brought through FINRA arbitration. According to a recent consent order with the Maine ... Read More
Mar
13
Investors who have suffered investment losses investing with Philip D. Horn through his former brokerage firm, Wells Fargo Advisors, LLC, may be able to recover their investment losses through FINRA arbitration. According to recent criminal court filings, Philip Horn recently plead guilty to defrauding more than a ten Wells Fargo ... Read More
Dec
10
Investors who have suffered losses investing in Silver Oak Leasing, Inc. upon the recommendation of Alberto Neira (CRD# 2658649) may be able to recover their investment losses through FINRA arbitration. According to a recent Acceptance, Waiver, and Consent that Alberto Neira entered into with FINRA, Alberto Neira entered the securities ... Read More
Dec
10
Investors who have suffered losses investing in Silver Oak Leasing, Inc. upon the recommendation of Alberto Neira (CRD# 2658649) may be able to recover their investment losses through FINRA arbitration. According to a recent Acceptance, Waiver, and Consent that Alberto Neira entered into with FINRA, Alberto Neira entered the securities ... Read More
Nov
05
Investors who have suffered losses investing with WR Rice Financial Services, its owner Joel Wilson, or other representatives registered with WR Rice Financial may be able to recover their investment losses through FINRA Arbitration. According to a FINRA press release, FINRA filed for a temporary cease-and-desist order to halt allegedly ... Read More