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9
May

WARNING! Investigation of STACEY CHENEY JAMISON

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Stacey Cheney Jamison, formerly with CUNA Brokerage Services, Barred from Securities Industry   Have you lost money with financial advisor Stacey Cheney Jamison of Atlanta, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Stacey Cheney Jamison. FINRA barred Cheney-Jamison from the securities industry after she failed to respond to …
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8
May

WARNING! Impending Investigation – KIMM HANNAN of Canton, OH

INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
Kimm Hannan from Canton, Ohio Indicted for Securities Fraud   Have you lost money with financial advisor Kimm Hannan, formerly of Canton, Ohio?  We are investigating allegations made by the Stark County Prosecutor, against Kimm C. Hannan, a former representative of LPL Financial and Ameriprise Financial Services. Stark County indicted Hannan for theft, regarding allegations …
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8
May

WARNING! Impending Investigation – FIFTH THIRD SECURITIES

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Fifth Third Securities Ordered to Pay $6 Million for Supervisory Failures Related to Variable Annuities   Fifth Third Securities, a securities brokerage firm based out of Cincinnati, Ohio, was recently fined $4 million dollars and ordered to pay another $2 million in restitution for numerous supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that …
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7
May

WARNING! Investigation of MICHAEL SWINGLE of J.W. COLE

INVESTOR ALERT! Peggy Doherty-Punderson of Morgan Stanley in Lebanon, NH
Michael Swingle, formerly with J.W. Cole Financial, Suspended 18 Months by FINRA   Have you lost money with financial advisor Michael Swingle of Clearwater, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Terry Swingle. FINRA suspended Swingle from the securities industry for 18 months and fined him $5,000.  …
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6
May

CAMBRIDGE INVESTMENT RESEARCH Settles WITH FINRA

INVESTOR ALERT! Parkland Securities and ETFs
Cambridge Investment Research Settles with FINRA Over Sales of Inverse and Leveraged ETFs   We are currently investigating allegations made against Cambridge Investment Research, Inc., a Fairfield, Iowa-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Cambridge Investment Research, making allegations that it failed to enforce its procedures regarding …
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4
May

UPDATE! LEON VACCARELLI Pleads in FRAUD and MONEY LAUNDERING Case

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Leon Vaccarelli, formerly with the Investment Center, Pleads Not Guilty   Have you lost money with financial advisor Leon W. Vaccarelli of Waterbury, Connecticut?  We are continuing our investigation into allegations made against Leon Vaccarrelli, formerly a financial advisor with the Investment Center.  Vaccarrelli recently pleaded not guilty to charges of fraud and money laundering, …
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3
May

WARNING! Investigation of JAMES CONAWAY and LORRAINE CONAWAY – Tustin, CA

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
James Conaway and Lorraine Conaway, formerly with USA Financial Securities Corp. and JP Turner, Suspended Nine Months from Securities Industry   Have you lost money with financial advisors James Conaway and Lorraine Conaway of Tustin, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James O. Conaway and Lorraine A. …
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2
May

UPDATE! Dennis Mehringer of Pasadena, CA BARRED from Securities

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Dennis Mehringer, formerly with Western International Securities, Barred from Securities Industry   Have you lost money with financial advisor Dennis Mehringer of Pasadena, California?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis A. Mehringer, Jr. FINRA alleged that from July 2010 to August 2013, Mehringer made …
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1
May

INVESTOR ALERT! Laidlaw and Company SETTLEMENT $$

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Laidlaw and Company (UK) Settles with FINRA Over Sales of Inverse and Leveraged ETFs   We are currently investigating allegations made against Laidlaw and Company (UK), Inc., a London, United Kingdom-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Laidlaw and Company (UK), making allegations that it failed to …
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