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31
Oct

Lost Money with MICHAEL HEATH of First Allied Securities?

News Update - Martin Batstone of Independent Financial Group in San Diego, California
Michael Heath, from Ladera Ranch, California, Subject of FINRA Complaint   Have you lost money with financial advisor Michael Heath of Ladera Ranch, California?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against Michael Eugene Heath.  FINRA suspended Heath 45 days from the securities industry and fined him $12,500.  FINRA …
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31
Oct

Investigation of DAVID FERWERDA – Grand Rapids, MI

Losses with William Horak of Purshe Kaplan in Tallahassee, FL
David Ferwerda, formerly with Signator Investors, Barred from Securities Industry   Have you lost money with financial advisor David Ferwerda from Grand Rapids, Michigan?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against David  Ferwerda.  FINRA barred Dave Ferwerda from the securities industry after he failed to respond to an …
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30
Oct

ERIC HESSE Investor Complaints – Chicago, IL

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Eric Hesse from Chicago, Illinois Subject of  Illinois Securities Department Complaint   Have you lost money with financial advisor Eric Hesse from Chicago, Illinois?  We are continuing our investigation into allegations made by the Illinois Securities Department against Eric A. Hesse, who has been registered with Citigroup and U.S. Bancorp Investments.  Illinois alleged that Hesse …
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30
Oct

INVESTOR WARNING! JUDITH BUFIS and TFS Securities – East Brunswick, NJ

INVESTOR ALERT! Michael Norman and NYLife Securities
Judith Bufis, formerly with TFS Securities, Barred from Securities Industry   Have you lost money with financial advisor Judith Bufis of TFS Securities in East Brunswick, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Judith Ann Bufis.  FINRA barred Bufis from the securities industry after she failed …
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29
Oct

BRUCE PLYER of Morgan Stanley Terminated for Unauthorized Trading

Losses with Newbridge Securities, CJS Technology, and ETFs in Boca Raton Florida
Bruce Plyer, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Bruce Plyer from Florham Park, New Jersey?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bruce Arnold Plyer. FINRA barred Plyer from the securities industry after he failed to respond to …
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29
Oct

DAVID COLFLESH of NYLife – 18 Customer Complaints!

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
David Colflesh, formerly with NYLife Securities, Suspended Eighteen Months   Have you lost money with financial advisor David Colflesh of Tarkio, Missouri?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against David R. Colflesh. FINRA suspended Colflesh from the securities industry for eighteen months and ordered him to disgorge over …
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25
Oct

Investigation: STEPHEN COUPE of First Allied Securities

INVESTOR ALERT! Charles Stevens of D.H. Hill Securities in Humble, TX
Stephen Coupe, formerly with First Allied Securities, Subject of Washington Securities Division Complaint   Have you lost money with financial advisor Stephen Coupe of Silverdale, Washington?  We are investigating allegations made by the Washington Securities Division.   Washington alleged that Coupe made trades in First Allied Securities customer accounts without receiving prior written authorization.  Stephen Coupe …
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25
Oct

INVESTIGATION: JOHN SIMONCIC of Financial West Group

INVESTOR ALERT! Dennis Murphy of Monmouth Capital in Red Bank, NJ
John Simoncic of Westlake Village, CA Barred from Securities Industry   Have you lost money with financial advisor John Simoncic?  We are investigating allegations made about John S. Simoncic from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) barred Simoncic from the securities industry.  FINRA was investigating John Simoncic, a broker who previously worked …
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25
Oct

INVESTOR ALERT! Sean Kelly and Lion’s Share – Marietta, GA

INVESTOR ALERT! Charles Stevens of D.H. Hill Securities in Humble, TX
Sean Kelly, formerly with Center Street Securities and Capital Financial, Subject of SEC Complaint   Have you lost money investing with Sean Kelly from Marietta, Georgia?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Sean Joseph Kelly, formerly with Center Street Securities.  Kelly was the subject of a complaint by …
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22
Oct

WARNING! Investigation of CHRISTOPHER HERRMANN in Greenwood, IN

Investigation of David Dalton of Moors & Cabot in Boston, MA
Christopher Herrmann from Greenwood, Indiana, Suspended by FINRA for Nine Months   Have you lost money with financial advisor Christopher Herrmann from Greenwood, Indiana?  We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Christopher Michael Herrmann. FINRA alleged that Christopher Herrmann made unsuitable recommendations to his customers to sell …
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