David Hall, previously with State Farm VP Management Corp., Barred by FINRA Have you lost money with financial advisor David Hall?  We are looking into allegations made about David Lance Hall from Bakersfield, California.  FINRA (the Financial Industry Regulatory Authority) barred Hall from the securities industry after he failed to respond to an investigation.  FINRA …
Read More "INVESTIGATION of DAVID HALL / State Farm VP Mgmt. – Bakersfield, CA"

Eric Pica, Previously with Joseph Stone Capital, Barred by FINRA Have you lost money with financial advisor Eric Pica?  We are continuing to look into allegations made about Eric Pica from New York, New York.  In 2019, FINRA (the Financial Industry Regulatory Authority) barred brought a complaint against Pica, and in March 2020, FINRA barred …
Read More "UPDATE! Eric Pica of Joseph Stone Capital is BARRED – New York, NY"

Imran Razvi, formerly with Lincoln Financial Securities Corp., Suspended from Securities Industry Have you lost money with financial advisor Imran Razvi from Frederick, Maryland?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Imran or Raz Razvi. FINRA suspended Razvi from the securities industry for six months and fined him …
Read More "ALERT! Imran Razvi SUSPENDED for Selling Woodbridge – Frederick, MD"

Andre Davis, previously with First Standard Financial Company, Barred by FINRA Have you lost money with financial advisor Andre Davis?  We are looking into allegations made about Andre Pierre Davis from Staten Island, New York.  FINRA (the Financial Industry Regulatory Authority) barred Andre Davis from the securities industry after he failed to respond to an …
Read More "WARNING – Investigation of ANDRE DAVIS – Staten Island, NY"

Louis Cook, previously with National Planning Corp., Barred by FINRA Have you lost money with financial advisor Louis Cook?  We are looking into allegations made about Louis Cook from Staten Island, New York.  FINRA (the Financial Industry Regulatory Authority) barred Lou Cook from the securities industry.  FINRA alleged that Cook misused $150,000 of customer funds …
Read More "Investigation of LOUIS COOK and National Planning – Staten Island, NY"

Gregory Dean and Donald Fowler, previously with Worden Capital Management, Found Liable for Fraud for Excessive Trading Accounts Have you lost money with financial advisor Gregory Dean and Donald Fowler?  We are continuing to look into allegations made about Gregory Thomas Dean and Donald J. Fowler from Rockville Centre, New York.  The Securities and Exchange …
Read More "FRAUD ALERT: Gregory Dean and Donald Fowler – Rockville Centre, NY"

Jody Thompson, formerly with Alexander Capital, Suspended from Securities Industry Have you lost money with financial advisor Jody Thompson of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jody E. Thompson.  FINRA suspended Thompson from the securities industry for five months.  FINRA was investigating Mr. Thompson …
Read More "WARNING! Investigation of Advisor JODY THOMPSON – New York, NY"

Stanley Secor, formerly of Cetera Advisor Networks, subject of Utah Regulatory Action Have you lost money with financial advisor Stanley Secor of Salt Lake City, Utah?  We are investigating allegations made by the Utah Division of Securities.  The Utah Division of Securities brought a regulatory action against Secor after he was terminated by his brokerage …
Read More "Investigation of STANLEY SECOR / Cetera Advisors – Salt Lake City, UT"

James McKinney, formerly with Cetera Advisors, Barred by FINRA Have you lost money with financial advisor James McKinney?  We are continuing to look into allegations made about James Gregory or “Greg” McKinney from Tulsa, Oklahoma.  In November 2019, FINRA (the Financial Industry Regulatory Authority) sought to bar McKinney from the securities industry.  FINRA alleges that …
Read More "UPDATE! James McKinney of Cetera is BARRED – Tulsa, OK"

John Park, previously with FBL Marketing Services, Barred by FINRA Have you lost money with financial advisor John Park?  We are continuing to look into allegations made about John Clifford Park from Sioux Falls, South Dakota.  FINRA (the Financial Industry Regulatory Authority) barred Park from the securities industry.  FINRA alleged that Park failed to respond …
Read More "FRAUD WARNING! JOHN PARK of FBL Marketing – Sioux Falls, SD"