SEARCH OUR BLOGS
2
Jul

WARNING! Impending Investigation: XAVIER PATINO of Elmhurst, IL

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Xavier Patino, formerly with J.P. Morgan Securities, Suspended Six Months by FINRA   Have you lost money with financial advisor Xavier Patino of Elmhurst, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Xavier Patino. FINRA suspended Patino from the securities industry for six months and fined him $10,000.  FINRA …
Read More "WARNING! Impending Investigation: XAVIER PATINO of Elmhurst, IL"
27
Jun

WARNING! Investigation of KYUSUN KIM of San Diego, CA

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI
Kyusun Kim, formerly of Independent Financial Group, Barred from Securities Industry by FINRA   Have you lost money with financial advisor Kyusun Kim of San Diego, California?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Kyusun or “Kenny” Kim.  Kim was barred from the securities industry by …
Read More "WARNING! Investigation of KYUSUN KIM of San Diego, CA"
26
Jun

UPDATE! ROBERT HOFFMAN and WOODBURY Customers Awarded Over $1 Million

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Woodbury Financial Services Ordered to Pay Over $1 Million Regarding Robert Hoffman Losses   Have you lost money with financial advisor Robert Hoffman of Greenwood, Indiana?  A couple in southern California recently brought an arbitration claim against Robert Hoffman and his former brokerage firm, Woodbury Financial, alleging that they violated their fiduciary duties and were …
Read More "UPDATE! ROBERT HOFFMAN and WOODBURY Customers Awarded Over $1 Million"
25
Jun

INVESTOR WARNING! Investigation of CORY WILLIAMS of Mesa, AZ

INVESTOR ALERT! Cory Williams
Cory Williams, formerly of Taylor Capital Management, Subject of Arizona Securities Complaint   Have you lost money with financial advisor, Cory Williams of Mesa, Arizona?  We are continuing our investigation into allegations made against Cory Williams.  The Arizona Corporation Commission alleged that Williams raised $13 million from 40 investors between March 2014 and November 2016 …
Read More "INVESTOR WARNING! Investigation of CORY WILLIAMS of Mesa, AZ"
22
Jun

WARNING! Impending Investigation: SEAN KILLORAN of SCOTIA CAPITAL

INVESTOR ALERT! Ma Rosa Linan Abrego of Merrill Lynch in McAllen, TX
Sean Killoran, formerly with Scotia Capital, Subject of FINRA Complaint   Have you lost money with financial advisor Sean Killoran of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean William Killoran. FINRA seeks to bar Killoran from the securities industry after he failed to respond …
Read More "WARNING! Impending Investigation: SEAN KILLORAN of SCOTIA CAPITAL"
18
Jun

WARNING! Impending Investigation – RICHARD WESSELT

INVESTOR ALERT! Richard Wesselt
 Israels & Neuman, PLC Investigates Richard Wesselt, formerly with Sterne Agee Financial Services and O.N. Equity Sales Company   Have you lost money with financial advisor Richard M. Wesselt, formerly with Sterne Agee Financial Services, from Collegeville, Pennsylvania?  We are investigating allegations of former customers related to Richard Wesselt. Richard Wesselt’s BrokerCheck report, a public …
Read More "WARNING! Impending Investigation – RICHARD WESSELT"
14
Jun

WARNING! Impending Investigation: NORTHEAST SECURITIES – Mitchelfield, NY

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
Northeast Securities, LLC Fined for Failing to Adequately Supervise Outside Brokerage Accounts   We are currently investigating allegations made against Northeast Securities, LLC, a Mitchelfield, New York-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Northeast Securities, alleging that it failed to reasonably supervise the outside brokerage accounts of …
Read More "WARNING! Impending Investigation: NORTHEAST SECURITIES – Mitchelfield, NY"
11
Jun

UPDATE! DONALD SOUTHWICK of Troy, MI

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Former President of CSSC Brokerage Services Suspended and Fined for Failing to Adequately Supervise Donald Southwick   Have you lost money with financial advisor Donald Southwick of Troy, Michigan?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority), against Donald P. Southwick. In 2017, FINRA suspended Southwick six months …
Read More "UPDATE! DONALD SOUTHWICK of Troy, MI"
11
Jun

WARNING! Investigation of SEAN BRADY of St. Louis, Missouri

Investor Alert: Jeremy Rosen of Berthel Fisher in Easton, PA
Sean Brady formerly with First Allied Securities, Barred from Securities Industry   Have you lost money with financial advisor Sean Brady of St. Louis, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean Aaron Brady. FINRA barred Brady from the securities industry after he failed to respond to a …
Read More "WARNING! Investigation of SEAN BRADY of St. Louis, Missouri"
11
Jun

WARNING! Impending Investigation: ATIQ KHAN of Covina, CA

INVESTOR ALERT! Paul Petrillo of Thrivent Investments in Volo, IL
Atiq Khan, formerly with TransAmerica Financial Advisors, Subject of FINRA Complaint   Have you lost money with financial advisor Atiq Khan of Covina, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Atiq U. Khan. FINRA seeks to bar Khan from the securities industry after he failed to respond to …
Read More "WARNING! Impending Investigation: ATIQ KHAN of Covina, CA"