Lincoln Investment Financial Advisor Jim Forbis discloses three customer disputes. Jimmy (Jim) Forbis is a Lincoln Investment financial advisor. ?Lincoln Investment has its main office in Fort Washington, PA., and Jim Forbis operated from a Lincoln Investment office located in Memphis, TN. Jim Forbis has three disclosed customer disputes according to FINRA Brokercheck records, the …
Raymond James Financial Advisor, Jason Brienen, Terminated Jason Brienen was a Raymond James Financial Services, Inc. Advisor in Tallahassee, Florida who appears to have been terminated by Raymond James after allegations arose related to alleged rule violations and/or after requirements of a heightened supervision plan were not satisfied. See Financial Industry Regulatory Authority (FINRA) Brokercheck. …
Ameriprise Settles SEC Allegations On 8/15/18, OnWallStreet reported that Ameriprise agreed to pay $4.5 million to settle Securities and Exchange Commission (SEC) charges. The SEC allegations charged that Ameriprise’s independent advisor platform included at one time five financial advisors who had stolen substantial monies from clients over a period of several years. There were alleged …
Reef Securities and President, Paul Mauceli allegedly failed to notify investors in a timely manner of a right to rescission related to sales of an oil and gas drilling income fund limited partnership. Financial Industry Regulatory Authority (FINRA) entered an Acceptance Waiver and Consent without any admission or denial as to the underlying allegation. If …
On 1/8/18, an American Arbitration Award (AAA) was issued by a Panel against Allegis Investment Advisors in the amount of $911,000. Allegis is an investment advisor firm based in Boise, Idaho that offered customers a complex options trading strategy known as a spread strategy. In August 2015, strategy failed spectacularly causing customer losses of $39 …