Financial Advisor Fraud Archives – Page 514 Of 530

Sanders Spangler (LPL Financial) Barred For Life By FINRA!

Sanders Spangler, a former stockbroker who was registered with LPL Financial since October 2005, discloses an employment termination, 6 prior customer disputes as well as a regulatory matter on his BrokerCheck record. LPL Financial discharged him in February 2017 alleging: “Exercising discretionary power in the customer account(s) in violation of firm policy” on his BrokerCheck […]

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Antoine Souma (Galliott Capital Advisors) Suspended and Fined For Inaccurate Reports!

One-time top-ranked broker Antoine Souma (Galliott Capital Advisors) has agreed to a fine of $20,000 and a suspension of two months, levied by the Financial Industry Regulatory Authority (FINRA). Allegations against Souma, who, in 2016, was ranked at number 76 in the list of top 100 financial advisors produced by Barron’s, and headed a team

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Ameriprise Complaints: Broker James Dunn

Ameriprise Financial James Dunn Facing 5 Customer Claims for a Total of $1.5M

If you are an investor who has had dealings with Ameriprise stockbroker James Dunn and has either suffered losses or suspected wrongdoing, you are advised to seek expert guidance. At Haselkorn & Thibaut, we have been contacted by several victims of the Virginia-based broker and are undertaking free reviews of their cases. Dunn has a

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Hospitality Investors Trust REIT Lawsuit “FINRA” and Bankruptcy Filing

Hospitality Investors Trust Inc. (HIT REIT), formerly American Realty Capital Hospitality Trust (ARC), filed for creditor protection according to the United States Bankruptcy Court in Deleware. The Covid-19 pandemic looks poised to strike at the business of non-traded but publicly registered Real Estate Investment Trust (REIT), but we have warned investors for over a year now about the

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Preying on Seniors and Churchgoers, “Doc” Gallagher Loots $32 Million in Ponzi Scam

William Neil “Doc” Gallagher ran a Ponzi scheme that bilked $32 million off investors over several years. He exploited the elderly and particularly worked his way around churchgoers who believed he was a Christian like them. Many of his victims don’t know how they are going to live. Here are what two of the victims

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