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16
Aug

INVESTOR WARNING! Investigation of KENNETH FEYERS and CONESTOGA – Coral Springs, FL

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Conestoga Settlement Trust Fined $30,000 by Idaho Securities Bureau Regarding Kenneth Feyers   The Idaho Securities Bureau recently fined Conestoga Settlement Trust, Conestoga Settlement Services, and Conestoga International $30,000 for selling securities through unlicensed agents in Idaho.  Idaho alleged that numerous agents, such as Kenneth Feyers, sold investments in Conestoga, which were purported to be …
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16
Aug

INVESTOR ALERT! PETER CUNNINGHAM of Beverly Hills, CA

INVESTOR ALERT! John Buck
Peter Cunningham and Stockcross Financial Services Sued by Massachusetts Securities Division   Have you lost money with financial advisor Peter Cunningham of Beverly Hills, California?  We are investigating allegations made by the Massachusetts Securities Division against Peter E. Cunningham, an advisor at Stockcross Financial Services.  Massachusetts brought a complaint against both Cunningham and Stockcross Financial …
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15
Aug

INVESTOR WARNING! AMERIPRISE FINANCIAL and THEFT from Clients

Investor Alert! Daniel Burns of Newberg, Oregon and Woodbridge investments
Ameriprise Financial Services Fined Another $4.5 Million For Supervisory Failures   We are investigating allegations made by the Securities and Exchange Commission (SEC) against Ameriprise Financial Services.  Ameriprise was fined $4,500,000 for failing to supervise and detect theft or conversion by five of its registered representatives.  Those representatives include Justin Weseloh, Barbara Stark, Susan Walker, …
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15
Aug

WARNING! Impending Investigation of LELAND WHITING – Salt Lake City, UT

INVESTIGATION: Daniel Levine of Morgan Stanley
 Israels & Neuman, PLC Investigates Leland Whiting, Formerly with Hornor Townsend & Kent   Have you lost money with financial advisor Leland B. Whiting, formerly with Hornor Townsend & Kent in Salt Lake City, Utah?  Leland Whiting was recently named as a defendant in an action related to the sales of Future Income Payments, which …
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10
Aug

WARNING! Impending Investigation – JOHN MACCOLL of Birmingham, MI

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
John Maccoll, formerly with UBS Financial Services, Indicted and Subject of SEC Complaint   Have you lost money with financial advisor John Maccoll of Birmingham, Michigan?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against John C. Maccoll.  The SEC alleged that Maccoll defrauded his customers out of nearly $4 million …
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9
Aug

INVESTOR WARNING! Investigation of PAMELA SHUTTLEWORTH – Parsippany, NJ

INVESTOR ALERT! Robert Renteria Herrera of PFS Investments in El Paso, TX
Pamela Shuttleworth, formerly with Comprehensive Asset Management and Servicing, Barred from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Pamela Shuttleworth. FINRA barred Shuttleworth from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Shuttleworth regarding allegations that she was the …
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8
Aug

WARNING! Impending Investigation – ALEX HERRERA of Coral Gables, FL

INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
Alex Herrera, formerly with UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Alex Herrera of Coral Gables, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alex G. Herrera. FINRA barred Herrera from the securities industry after he failed to respond to a …
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8
Aug

INVESTOR ALERT! Investigation of ROY GAYTAN of Thousand Oaks, CA

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Roy Gaytan, formerly with TransAmerica Financial Advisors, Suspended from Securities Industry   Have you lost money with financial advisor Roy Gaytan of Thousand Oaks, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Roy Aurelio Gaytan. FINRA suspended Gaytan from the securities industry for eight months and fined him $15,000 …
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5
Aug

WARNING! Impending Investigation – ERIC SIMONDS of Brunswick, ME

INVESTOR ALERT! Robert Renteria Herrera of PFS Investments in El Paso, TX
Eric Simonds Suspended by Maine for Selling Woodbridge   Have you lost money investing in the Woodbridge Group of Companies through advisor Eric Simonds?  Eric Simonds from Brunswick, Maine, was under investigation by the Maine Office of Securities for selling investments in the Woodbridge Group of Companies to his customers.  Maine recently suspended Eric Simonds …
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