SEARCH OUR BLOGS
1
May

WARNING! Impending Investigation: JOSEPH PRATTE – Riverside, CA

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Joseph Pratte, formerly with Signator Investors, Barred from Securities Industry   Have you lost money with financial advisor Joseph Pratte of Riverside, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph Glenn Pratte. FINRA barred Pratte from the securities industry after he failed to respond to a FINRA investigation.  …
Read More "WARNING! Impending Investigation: JOSEPH PRATTE – Riverside, CA"
1
May

WARNING! Impending Investigation: VINCENT SANTORO – Lake Mary, FL

Investment Alert! Robert Halldin of American Portfolios in Newington, CT
Vincent Santoro, formerly with State Farm VP Management Corp., Barred from Securities Industry   Have you lost money with financial advisor Vincent Santoro of Lake Mary, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Vincent Santoro. FINRA barred Santoro from the securities industry after he failed to respond to …
Read More "WARNING! Impending Investigation: VINCENT SANTORO – Lake Mary, FL"
1
May

WARNING! Impending Investigation – J. GORDON CLOUTIER of Frisco, TX

INVESTOR ALERT! John Buck
J. Gordon Cloutier, formerly with Wells Fargo, Subject of FINRA Complaint   Have you lost money with financial advisor J. Gordon Cloutier of Frisco, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against J. Gordon Cloutier, Jr. FINRA seeks to bar Cloutier from the securities industry after he failed to …
Read More "WARNING! Impending Investigation – J. GORDON CLOUTIER of Frisco, TX"
30
Apr

INVESTOR WARNING! EJ Sterling and Allied Millennial Partners

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
EJ Sterling, now known as Allied Millennial Partners, Ordered to Pay $35,000 for Supervisory Failures   EJ Sterling, a securities brokerage firm based out of New York City, was recently ordered to pay partial restitution of $35,000 for supervisory failures.  FINRA (the Financial Industry Regulatory Authority) found that between January 2014 and June 2015, EJ …
Read More "INVESTOR WARNING! EJ Sterling and Allied Millennial Partners"
30
Apr

INVESTOR WARNING! Advisor Matthew Eckstein of New York

Losses with Ronald Hannes of Woodbury Financial in Spokane, WA
Matthew Eckstein, formerly with Gould, Ambroson & Associates, Subject of FINRA Complaint   Have you lost money with financial advisor Matthew Eckstein of Garden City and Syosset, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew Evan Eckstein. FINRA recently filed a complaint against Eckstein.  FINRA was investigating …
Read More "INVESTOR WARNING! Advisor Matthew Eckstein of New York"
27
Apr

WARNING! Impending Investigation: DON TRAYWICK – Orange, CA

INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
Don Traywick, formerly with Crown Capital Securities, Suspended Three Months   Have you lost money with financial advisor Don Traywick from Orange, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Don Traywick.  FINRA alleged that Don Traywick made unsuitable recommendations to his customers to switch from Class “A” …
Read More "WARNING! Impending Investigation: DON TRAYWICK – Orange, CA"
25
Apr

WARNING! Investigation – AHMED GHEITH, KEVIN GRAETZ and MINISH HEDE

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
Ahmed Gheith, formerly with Paulson Investment Company, Suspended One Year from Securities Industry   Have you lost money with financial advisor Ahmed Gheith of New York and Corvallis, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ahmed Ghassan Gheith. FINRA suspended Gheith from the securities industry for one …
Read More "WARNING! Investigation – AHMED GHEITH, KEVIN GRAETZ and MINISH HEDE"
21
Apr

WARNING! Impending Investigation – LI-LIN HSU of AMERIPRISE

James Thomas Booth of Invest Financial and LPL Financial in Norwalk, CT Guilty of Fraud
Li-Lin Hsu, formerly with Ameriprise Financial Advisors, Arrested by FBI for Fraud   Have you lost money with financial advisor Li-Lin Hsu of Los Angeles, California?  We are continuing our investigation into Li-Lin Hsu, who was arrested regarding allegations of mail fraud, wire fraud, and money laundering.  According to AdvisorHub, Hsu was alleged to have …
Read More "WARNING! Impending Investigation – LI-LIN HSU of AMERIPRISE"