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9
Jul

UPDATE! Robert Tweed BARRED from Securities Industry

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Robert Tweed, formerly of Concorde Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Robert Tweed of San Marino, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Robert R. Tweed.  FINRA barred Tweed from the securities industry regarding allegations that he made material misrepresentations …
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4
Jul

VICTIMS OF United Development Funding (UDF) May Be Able to Recover Losses

FRAUD! Benjamin Bourgeois of Commonwealth Financial in Metairie LA BARRED
United Development Funding III and IV Executives Ordered to Pay $8.2 Million   The Securities and Exchange Commission (SEC) recently filed a civil complaint against United Development Funding III, United Development Funding IV, and executives of the companies, including Hollis Greenlaw, Benjamin Wissink, Theodore Etter, Cara Obert, and David A. Hanson.  The SEC alleged that …
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4
Jul

WARNING! Impending Investigation – SHAKELA CARTER of Ft. Lauderdale, FL

INVESTOR ALERT! Shakela Carter
Shakela Carter, formerly with Merrill Lynch, Barred from Securities Industry   Have you lost money with financial advisor Shakela Carter of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Shakela Y. Carter. FINRA barred Carter from the securities industry after she failed to respond to a FINRA …
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3
Jul

WARNING! Impending Investigation: BRADLEY TENNISON of Mesa, AZ

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Bradley Tennison, formerly with Geneos Wealth Management, Barred from Securities Industry   Have you lost money with financial advisor Bradley Tennison from Mesa, Arizona?  We are investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bradley Joseph Tennison.  FINRA barred Tennison from the securities industry after he failed to respond to an …
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3
Jul

INVESTOR ALERT! Alexander Capital and Supervisors FINED by the SEC

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Alexander Capital and Two Supervisors Fined by SEC   The Securities and Exchange Commission (SEC) recently brought a regulatory action against Alexander Capital and two of its supervisors, Barry Eisenberg and Philip Noto.  The SEC alleged that Alexander Capital, Eisenberg, and Noto failed to adequately supervise the trading at Alexander Capital’s Staten Island, New York …
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2
Jul

UPDATE! Jon Schmidhammer of Dublin, OH BARRED by SEC

INVESTOR ALERT! Robert Renteria Herrera of PFS Investments in El Paso, TX
UPDATE: Jon Schmidhammer, formerly with Stifel Nicolaus & Company, Barred by SEC   Our law firm is continuing its investigation into allegations regarding financial advisor Jon Schmidhammer of Dublin, Ohio.  In August 2016, Jon Schmidhammer was arrested, after he confessed to stealing more than $500,000.00 from an elderly client.  Schmidhammer also pleaded guilty in 2017. …
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2
Jul

WARNING! Impending Investigation: LEADERS GROUP in Littleton, CO

INVESTOR ALERT! Mark Christiansen of United Planners in Woodinville WA
The Leaders Group Fined $95,000 for Numerous Supervisory Failures   The Leaders Group, a securities brokerage firm based out of Littleton, Colorado, was recently fined $95,000 dollars for numerous supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between May 2012 and September 2014, The Leaders Group had several supervisory missteps, including: a) failed …
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2
Jul

WARNING! Impending Investigation: CHARLES SCHWAB to Pay $2.8 Million

INVESTOR ALERT! Stanley Secor of Cetera Advisors in Salt Lake City, UT
Charles Schwab Settles with SEC for $2.8 Million Regarding Failure to File Suspicious Activity Reports   The Securities and Exchange Commission (SEC) recently filed a civil complaint against Charles Schwab & Co., Inc., a San Francisco, California-based securities brokerage firm.  The SEC alleged that Charles Schwab failed to file Suspicious Activity Reports (SARs) on the …
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2
Jul

WARNING! Impending Investigation: ABRAHAM BIDERMAN of New York, NY

INVESTOR ALERT! Mark Kregor and Hilliard Lyons
Abraham Biderman, formerly with Palladium Capital Advisors, Barred from Securities Industry   Have you lost money with financial advisor Abraham Biderman from New York, New York?  We are investigating into allegations made by FINRA (the Financial Industry Regulatory Authority) against Abraham or “Abe” Biderman.  FINRA barred Biderman from the securities industry after he failed to …
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2
Jul

WARNING! Impending Investigation: TAEK CHONG and JASON CHONG of Mercer Island, WA

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Taek Chong and Jason Chong, formerly of Raymond James Financial Services, Both Barred from Securities Industry by FINRA   Have you lost money with financial advisors Taek Chong and Jason Chong of Mercer Island, Washington?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Taek Man Chong and Jason Taek Chong.  …
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