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29
Mar

Have You Lost Money with WILLIAM SLATTERY of LAMBERT CAPITAL?

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
William Slattery, formerly with Lambert Capital Markets, Suspended Five Months   Have you lost money with financial advisor William Slattery of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William (or Bill) Patrick Slattery. FINRA suspended Slattery from the securities industry for five months and fined …
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28
Mar

WARNING! Impending Investigation: LAWRENCE FAWCETT of WESTPARK CAPITAL

INVESTOR ALERT! Bryan Clark of Madison Avenue Securities in Atascadero, CA
Lawrence Fawcett, formerly with Westpark Capital, Barred from Securities Industry   Have you lost money with financial advisor Lawrence Fawcett of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence (or Larry) J. Fawcett, Jr. FINRA barred Fawcett from the securities industry after he failed to …
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28
Mar

Investor Alert! MATTHEW SINGER of Morgan Stanley

INVESTOR ALERT! Lance Armstrong of Raymond James in Columbia, NJ
Matthew Singer, formerly with Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Matthew Singer of Aventura, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew Singer. FINRA barred Singer from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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27
Mar

INVESTOR WARNING! Michael Hefner and FBL MARKETING SERVICES

WARNING! Jerry Wells of MetLife in Rochester and Evanston, NY
Michael Hefner, formerly with FBL Marketing Services, Barred from Securities Industry   Have you lost money with financial advisor Michael Hefner of Tulsa, Oklahoma?  We are investigating allegations made by the Oklahoma Department of Securities against Michael Winston Hefner. Oklahoma barred Hefner from the securities industry after he failed to respond to an investigation.  Hefner …
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27
Mar

WARNING! Investigation of SANDERS SPANGLER – San Antonio, TX

INVESTOR ALERT! Frederick Holloway
Sanders Spangler, formerly with LPL Financial, Barred from Securities Industry   Have you lost money with financial advisor Sanders Spangler of San Antonio, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sanders L. Spangler. FINRA barred Spangler from the securities industry after he failed to respond to a FINRA …
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26
Mar

INVESTOR WARNING! RANDALL HAYES – Seattle, WA

Investigation of Linda Jay of Pruco Securities in East Brunswick, NJ
Randall Hayes, formerly with Morgan Stanley, Subject of Washington Securities Division Complaint   Have you lost money with financial advisor Randall Hayes of Seattle, Washington?  We are investigating allegations made by the Washington Securities Division.   Washington alleged that Hayes bought and sold inverse and leveraged ETFs (exchange traded funds) in his customers’ accounts without having …
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21
Mar

Can I Recover Investment Losses from GARY BASRALIAN and ROYAL ALLIANCE?

INVESTOR ALERT! Cory Williams
Gary Basralian, formerly with Royal Alliance Associates, Barred from Securities Industry   Have you lost money with financial advisor Gary Basralian of Maplewood, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gary J. Basralian. FINRA barred Basralian from the securities industry after he failed to respond to a …
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21
Mar

INVESTOR ALERT! MATTHEW COCHRAN of Charlotte, NC Barred from Securities Industry

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI
Matthew Cochran, formerly with Northwestern Mutual, Barred from Securities Industry   FINRA (the Financial Industry Regulatory Authority) barred Cochran from the securities industry regarding allegations that he engaged in private securities transactions and outside business activities without getting permission from his brokerage firm, Northwestern Mutual Investment Services.  Cochran was alleged by FINRA to have recommended …
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