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2
Dec

COMPLAINTS Against JAY WEISER, Woodbridge, and FIP

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Jay Weiser, formerly with DesPain Financial Corp., Subject of Illinois Securities Department Complaint   -Earlville, IL   Have you lost money with financial advisor Jay Weiser from Earlville, Illinois?  We are looking into allegations made by the Illinois Securities Department against Jay W. Weiser. Weiser was being investigated regarding allegations that he sold investments in …
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30
Nov

Complaints Against MARK FLANAGAN of Citigroup Global

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
Mark Flanagan, formerly with Citigroup Global Markets, Barred from Securities Industry   -Highland Park, Illinois   Have you lost money with financial advisor Mark Flanagan from Highland Park, Illinois?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Mark J. Flanagan. FINRA barred Flanagan from the securities industry after he …
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29
Nov

SEAN WATERS of Financial West BARRED for Churning

Investigation of David Austin of J.P. Morgan in Grand Rapids, MI
Sean Waters, previously with Financial West Group, Barred from Securities Industry      –  Westlake Village, CA   Have you lost money with financial advisor Sean Waters?  We are investigating allegations made about Sean J. Waters from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) barred Waters from the securities industry.  FINRA was investigating …
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29
Nov

UPDATE! Chris Kubiak Is Now BARRED by Wisconsin

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Chris Kubiak, formerly with Freedom Investors Corp. and Calton & Associates, Now Barred by Wisconsin   -Brookfield, Wisconsin   Have you lost money with financial advisor Chris Kubiak of Brookfield, Wisconsin?  We are continuing our investigation into allegations made by the Wisconsin Department of Financial Institutions against Chris Raymond Kubiak.  Wisconsin alleged that Kubiak stole …
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26
Nov

DAVID FAGENSON Suspended with 11 Complaints

David Fagenson, previously with UBS Financial Services, Suspended Eight Months from Securities Industry   Have you lost money with financial advisor David Fagenson?  We are investigation allegations made about David H. Fagenson from Palm Beach, Florida.  FINRA (the Financial Industry Regulatory Authority) suspended Fagenson from the securities industry for eight months.  FINRA was investigating David …
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26
Nov

FRANK DIETRICH Barred for Selling $10 Million in Bad Investments to Clients

INVESTIGATION of Robert High of First Financial Equity in Scottsdale, AZ
Frank Dietrich, formerly with Quest Capital Strategies, Barred from Securities Industry   – Springfield, Virginia   Have you lost money with financial advisor Frank Dietrich from Springfield, Virginia?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Frank R. Dietrich. FINRA barred Dietrich from the securities industry regarding allegations that …
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26
Nov

SCOTT NEWSHOLME Arrested for Stealing $3.1 Million from Clients

FRAUD ALERT! Kristian Finfrock of Kalos Capital located in Evansville, WI
Scott Newsholme, formerly with SII Investments, Sentenced to 8.5 Years for Fraud    -Matawan, New Jersey   Have you lost money with financial advisor Scott Newsholme of Farmingdale, New Jersey?  We are continuing our investigation into Scott Newsholme, who recently pleaded guilty to wire fraud, aggravated identity theft, and preparing fraudulent tax returns.  According to …
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21
Nov

RAYMOND PIRRELLO of Hackensack, NJ Suspended 18 Months

INVESTOR ALERT! Charles Stevens of D.H. Hill Securities in Humble, TX
Raymond Pirrello, formerly with Garden State Securities, Suspended 18 Months from Securities Industry   Have you lost money with financial advisor Raymond Pirrello of Hackensack, New Jersey?  We are investigating allegations made by the Financial Industry Regulatory Authority (FINRA) against Raymond John Pirrello, Jr.  Pirrello was suspended from the securities industry for eighteen months and …
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