SEARCH OUR BLOGS
17
Feb

Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry

Floyd Powell, MetLife Securities
Have you lost money with financial advisor Floyd Powell from Albertville, Alabama?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Floyd E. Powell. FINRA barred Powell from the securities industry.  Powell was being investigated regarding allegations that he sold $3.5 million in investments in the Woodbridge Group of Companies. …
Read More "Floyd Powell, formerly with MetLife Securities, Barred from Securities Industry"
17
Feb

Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms

Thomas Edward Burns of Crown Capital FINED
Have you lost money with Thomas Edward Burns of Crown Capital Securities?    We are currently investigating allegations made against Thomas Edward Burns III, a Lake Forest, California-based securities broker.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Burns, alleging that he negligently made numerous errors in alternative investment forms (AIO Forms). …
Read More "Thomas Edward Burns III, of Crown Capital Securities, Fined for Errors in Alternative Investment Forms"
7
Feb

Sean Kelly and Sales of GPB Capital

Sean Kelly and GPB Capital Investigation
Sean Kelly and Sales of GPB Capital   Have you lost money investing with Sean Kelly and GPB Capital? We are continuing our investigation into Sean Joseph Kelly from Marietta, Georgia, who was previously a registered representative of Capital Financial Services and Center Street Securities.  Sean Kelly was recommending that his clients make investments in GPB …
Read More "Sean Kelly and Sales of GPB Capital"
7
Feb

Michael Castillero, formerly with Alexander Capital, Barred by FINRA

Michael Castillero and Alexander Capital
Michael Castillero, formerly with Alexander Capital, Barred by FINRA   Have you lost money with financial advisor Michael Castillero of New York, New York?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael A. Castillero. FINRA barred Castillero from the securities industry after he failed to respond to a …
Read More "Michael Castillero, formerly with Alexander Capital, Barred by FINRA"
7
Feb

Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA

INVESTOR ALERT: James Kennedy of Woodbury Financial in Madison, MS
Have you lost money with financial advisor Casey Walker of Lake Lotawana, Missouri?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Casey Wayne Walker. FINRA barred Walker from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Walker after he was terminated by …
Read More "Casey Walker, formerly with Farmers Financial Solutions, Barred by FINRA"
6
Feb

Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA

Investor Alert! Dennis Nakamura of McNally Financial in Moraga, CA
Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA   Have you lost money with financial advisor Bhenoy Dembla of Chicago, Illinois?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Bhenoy “Ben” Dembla. FINRA barred Dembla from the securities industry regarding allegations that he entered and later cancelled 41 …
Read More "Bhenoy Dembla, formerly with Merrill Lynch, Barred by FINRA"
5
Feb

Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft

woman using her laptop
Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft   Have you lost money investing with Dean Grant from Milledgeville, Georgia?  We are looking into allegations made against Dean Harrison Grant, formerly an advisor with M Holdings Securities.  Grant was charged by the Baldwin County Sheriff with insurance fraud and theft, according …
Read More "Dean Grant, formerly with M Holdings Securities, Charged with Fraud and Theft"
30
Jan

PETER ORLANDO of Warwick, Rhode Island BARRED!

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Peter Orlando, formerly with MetLife Securities, Barred by FINRA   Have you lost money with financial advisor Peter Orlando of Warwick, Rhode Island?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Peter Orlando. FINRA barred Orlando from the securities industry regarding allegations that he made an unsuitable recommendation to …
Read More "PETER ORLANDO of Warwick, Rhode Island BARRED!"
28
Jan

JOHN ERNST of Foresters Equity BARRED for Selling Woodbridge

Investor Alert: Jeremy Rosen of Berthel Fisher in Easton, PA
Have you lost money with financial advisor John Ernst of Foresters Equity in Milwaukee, Wisconsin?   We are looking into allegations made by the Wisconsin Department of Financial Institutions against John D. Ernst.  Wisconsin alleged that Ernst sold investments in the Woodbridge Group of Companies (Woodbridge).  Wisconsin further alleged that Ernst was not properly licensed …
Read More "JOHN ERNST of Foresters Equity BARRED for Selling Woodbridge"
28
Jan

UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Kyusun Kim, formerly of Independent Financial Group, Subject of Arizona Corporation Commission Complaint   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by the Arizona Corporation Commission against Kyusun or “Kenny” Kim.  Kim was the subject of this complaint because he was …
Read More "UPDATE! KYUSUN KIM or “Kenny Kim” of Independent Financial Group"