Tag: FINRA arbitration
James H. Heafner (Jim Heafner) Broker Investigation
James H. Heafner, Taylor Capital Management – Charlotte, NC Are you concerned about your investments with James H. Heafner in Charlotte,...
Michael P. Spolar Broker Investigation
Financial Advisor Michael P. Spolar, International Assets Advisory, Reportedly Suspended for 15 months Are you concerned about investments...
Craig E. Lewis Broker Investigation
Craig E. Lewis, Valic Financial Advisors– Gainesville, GA Are you concerned about investments with Craig E. Lewis in Gainesville, GA? If...
Harry F. Couglar Broker Investigation
Harry F. Couglar, Montage Securities – San Diego, CA Are you concerned about investments you made with Harry F. Couglar in San Diego, CA?...
Marcus Boggs Broker Investigation
Merrill Lynch Broker Marcus Boggs Reportedly Barred after Alleged Unauthorized Funds Transfers Are you concerned about your investments...
David C. Ferwerda Broker Investigation
David C. Ferwerda, Signator Investors, Grand Rapids, MI – Suspended by CFP Board Are you concerned about investments with David C....
