Matthew Westfall; Securities America; Grand Island, Nebraska

Stoltmann Law Offices is investigating Matthew Westfall, a former stockbroker with Securities America. Westfall has been accused of making unsuitable recommendations, fraudulent misrepresentation and violation of federal and Nebraska securities laws in connection with an investment in real estate securities. These are all against securities rules and regulations. Westfall’s former firm, Securities America, can be…

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Frank Hoover; Wells Fargo; Wichita, Kansas

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Frank William Hoover, previously associated with Wells Fargo in Wichita, Kansas, was accused of effecting an unauthorized transaction in a customer account by selling a client’s mutual fund shares. This was not authorized by the client. This…

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Losses With Frank Black and Southeast Investments? Options To Recover Money

According to yesterday’s InvestmentNews article entitled “FINRA bars broker-dealer owner for false testimony, fabricated documents,” FINRA barred Frank H. Black on Friday. Black was the owner of broker-dealer Southeast Investments N.C. Inc. in Charlotte, North Carolina. FINRA claimed that Black testified falsely during an on-the-record interview and provided fabricated documents relating to his firm’s branch…

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