Articles Tagged with Signator Investors

Stoltmann Law Offices is investigating James M. Clingensmith, who was a registered representative with LPL Financial in Old Orchard Beach, Maine. Clingensmith was accused of effecting an unauthorized transaction in the account of a client, misrepresenting to his firm that he spoke with the client before effecting the unauthorized transaction and misrepresenting to his firm that he failed to disclose a transaction to two clients. For this, the Maine Office of Securities fined Clingensmith $5,000 and ordered that he be placed on enhanced supervision for two years.

James M. Clingensmith was registered with IDS Life Insurance Company in Minneapolis, Minnesota from November 1991 until July 2006, Ameriprise Financial Services in Old Orchard Beach, Maine from November 1991 until May 2012, Signator Investors in Old Orchard Beach from May 2012 until June 2013 and LPL Financial in Old Orchard Beach from July 2013 until June 2015. He is not currently registered with any firm. He has one customer dispute against him. He is not licensed within the industry.

If you lost money with James M. Clingensmith, please call our securities law office at 312-332-4200 to speak with an attorney. His former firm, LPL Financial, could be liable for investment losses because they had a duty to reasonably supervise him while he was employed there. We sue firms such as LPL Financial in the Financial Industry Regulatory Authority (FINRA) arbitration forum to recover losses for investors. The call is free with no obligation, and we take cases on a contingency fee basis only, which means we only get paid if you do.

Stoltmann Law Offices is investigating Cory D. Williams, who entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Williams is accused of allegedly participating in at least 125 private securities transactions without providing written notice to his firm, Signator Investors. During the period of May 2004 and Januarey 2012, Williams sold securities in Colonial Tidewater Realty Income Partners, garnering $94,000 in commissions. This is against securities rules and regulations. He is accused of allegedly authorizing wire transfers of funds from customer accounts at the firm to Colonial and manually adding outside holdings to consolidated statements that were sent to the customers.

Williams was registered with New England Securities in New York, New York from November 1997 until December 1998, Signator Investors in Towson, Maryland from May 1998 until March 2013 and NBC Securities in Hunt Valley, Maryland from April 2013 until September 2013. He has three customer disputes against him. He is not currently licensed within the industry, nor is he registered with any FINRA member firm.

If you lost money with Cory D. Williams, his former firm, Signator Investors, may be liable for investment losses. Please call our securities law firm in Chicago at 312-332-4200 to speak with an attorney about your options of suing Signator for financial losses. The call is free with no obligation. We take cases on a contingency fee basis only.

Do you have a complaint against LPL Financial broker, Jamie Spencer Head? If so, please call Chicago-based Stoltmann Law Offices at 312-332-4200 for a free consultation with an attorney. We sue firms such as LPL in the Financial Industry Regulatory Authority (FINRA) arbitration forum to recover money for retail investors. LPL can be held liable for financial losses because of their inability to reasonably supervise brokers such as Jamie Spencer Head. Mr. Head has been accused of recommending unsuitable investments to customers between the years of 2006 and 2012. He also was accused of violating sales practices in 2011. He has one customer dispute against him. He was registered with Mony Securities Corp from June 1984 until March 1985, John Hancock Mutual Life Insurance Company in Boston, Massachusetts from May 1985 until May 1997 and Signator Investors, also in Boston, from May 1985 until June 1999. He is currently registered with LPL Financial in Oklahoma City, Oklahoma, and has been since May 1999.

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