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25
Jun

WARNING! Investigation of Advisor KERRY HOFFMAN – Chicago, Illinois

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
SEC Complaint Against Kerry Hoffman and Investments in GT Media   Have you lost money with financial advisor Kerry L. Hoffman, formerly of LPL Financial and Union Capital Company?  The law firm of Israels & Neuman is  investigating allegations made by the Securities and Exchange Commission (SEC) against Kerry Hoffman.  The SEC alleged that Hoffman …
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17
Jun

INVESTOR ALERT: RAND HECKLER Barred

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Rand Heckler, formerly with Benjamin & Jerold Brokerage, Barred from Securities Industry   Have you lost money with financial advisor Rand Heckler of Glen Cove, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rand Alan Heckler. FINRA barred Heckler from the securities industry after he failed to respond …
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13
Jun

Complaints Against NINA JESSEE of Cetera Advisors – Abingdon, VA

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Nina Jessee, formerly with Cetera Advisors and Investors Capital Corp., Barred from Securities Industry   Have you lost money with financial advisor Nina Jessee of Abingdon, Virginia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nina Sue Jessee. FINRA barred Jessee from the securities industry after she failed to respond …
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12
Jun

WARNING! Investigation of Advisor LAWRENCE HAGEDORN – Kansas

Investigation of Linda Jay of Pruco Securities in East Brunswick, NJ
Lawrence Hagedorn, formerly with O.N. Equity Sales Company, Barred from Securities Industry   Have you lost money with financial advisor Lawrence Hagedorn of Andover, Kansas?  The law firm of Israels & Neuman is investigating allegations made the Kansas Securities Commission, against Lawrence M. Hagedorn.  The Kansas Securities Commission barred Hagedorn from the securities industry for …
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12
Jun

Have You Lost Money with NICOLAS BARRIOS of UBS Financial?

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
Nicolas Barrios, formerly UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Nicolas Barrios of Winter Haven, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicolas Jesus Barrios. FINRA barred Barrios from the securities industry after he failed to respond to a FINRA …
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10
Jun

INVESTOR ALERT! U.S. Boston Capital FINED $125,000

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
U.S. Boston Capital Fined $125,000 for Supervisory Failures   U.S. Boston Capital Corporation, a securities brokerage firm based out of Lincoln, Massachusetts, was recently fined $125,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between January 2015 to December 2017, U.S. Boston Capital had supervisory missteps, including that it failed to adequately …
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