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25
Jan

INVESTIGATION: KRISTIAN GAUDET of Ameritas – Cut Off, LA

Losses with William Horak of Purshe Kaplan in Tallahassee, FL
Kristian Gaudet, formerly with Ameritas Investment Corp., Barred by FINRA   Have you lost money with financial advisor Kristian Gaudet of Cut Off, Louisiana?  We are looking into allegations made by FINRA, the Financial Industry Regulatory Authority, against Kristian M. Gaudet. FINRA barred Gaudet from the securities industry after he failed to respond to a …
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25
Jan

INVESTIGATION of WILLIAM HEIDEN and Unauthorized Transactions

INVESTIGATION of Robert High of First Financial Equity in Scottsdale, AZ
William Heiden, formerly with Wedbush Securities and Morgan Stanley, Subject of FINRA Complaint   Have you lost money with financial advisor William Heiden of Newport Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William Mark Heiden. FINRA was investigating William Heiden after he was alleged to have engaged …
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24
Jan

COMPLAINTS Against BRIAN RIEMAN of Hennion & Walsh – New Jersey

INVESTOR ALERT! Mark Christiansen of United Planners in Woodinville WA
Brian Rieman, with Hennion & Walsh, Subject of Five Customer Complaints   Have you lost money with financial advisor Brian Rieman of Parsippany, New Jersey?  We are investigating allegations made against Brian C. Rieman.  According to FINRA’s BrokerCheck, Rieman has been the subject of five customer complaints, all of which were filed within the last …
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18
Jan

UPDATE! JAY WEISER of DesPain Financial Barred – Earlville, IL

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Jay Weiser, formerly with DesPain Financial Corp., Barred by FINRA   Have you lost money with financial advisor Jay Weiser from Earlville, Illinois investing in Woodbridge?  We are looking into allegations made FINRA (the Financial Industry Regulatory Authority) against Jay R. Weiser.  Weiser was barred from the securities industry by FINRA after he failed to …
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14
Jan

Advisor DONALD LOGAN of Waddell & Reed SUSPENDED

INVESTOR ALERT! Lance Armstrong of Raymond James in Columbia, NJ
Donald Logan from Silverdale, Washington Suspended for Eighteen Months from Securities Industry   Have you lost money with financial advisor Donald Logan of Silverdale, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donald Logan. FINRA suspended Logan from the securities industry for eighteen months and fined him $25,000.  FINRA …
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14
Jan

COMPLAINTS: DENNIS HAYES, Newbridge Securities, and Salomon Whitney

INVESTIGATION! Timothy Hetrick of U.S. Brokerage in Boise, ID
Dennis Hayes, formerly with Newbridge Securities Corp. and Salomon Whitney Financial, Subject of FINRA Complaint   Have you lost money with financial advisor Dennis Hayes of Charlotte, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis Allen Hayes. FINRA was investigating Dennis Hayes after he was alleged to …
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11
Jan

CFD INVESTMENTS Fined (Again) for Supervisory Failures

INVESTOR ALERT! Halil Kozi of PHX Financial in New York, NY
CFD Investments Settles with FINRA Again, This Time Over Variable Annuities   Have you lost money investing in variable annuities through CFD Investments, Inc.?  We are currently investigating allegations made against CFD Investments, Inc., a Kokomo, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CFD Investments, making allegations …
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9
Jan

Have You Lost Money with Advisor DANIEL LEVINE of Morgan Stanley?

Investigation of Donald Woods of LPL Financial in Louisville, KY
Daniel Levine, formerly with Morgan Stanley, Barred by FINRA   Have you lost money with financial advisor Daniel Levine of Greenwood Village, Colorado?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Todd Levine. FINRA barred Levine from the securities industry after he failed to respond to …
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