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27
Jan

WARNING! Impending Investigation: JOSEPH FARAH – Irvine, CA

INVESTOR ALERT! Shakela Carter
Joseph Farah, formerly with Gold Coast Securities, Barred from the Securities Industry   Have you lost money with financial advisor Joseph Farah of Irvine, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph C. Farah. FINRA barred Farah from the securities industry regarding allegations that he recommended that a …
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26
Jan

Important Information for Victims of the DAVID ZIER and ZAM LLC Ponzi Scheme

Investigation: John Schmidt and Wells Fargo
UPDATE:  Marla Roeser, formerly with City National Securities, Fined $10,000 for Failing to Supervise David Zier and ZAM, LLC   Have you lost money investing in ZAM LLC, a Potomac, Maryland-area based company?  Our firm is continuing our investigation into allegations that David Zier, the owner and operator of ZAM, ran a fraudulent scheme or …
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26
Jan

Advisor, VINCENT SCIABICA Suspended for 6 Months

WARNING! James Daughtry of Kestra Investment Services in Dothan, Alabama
Vincent Sciabica, formerly of Morgan Stanley, Suspended 6 Months from Securities Industry   Have you lost money with financial advisor Vincent Sciabica of Albany, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Vincent Alan Sciabica. FINRA suspended Sciabica from the securities industry for 6 months and fined him …
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23
Jan

FRAUD ALERT! Daniel Vazquez and Gilbert Fluetsch of California

INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
SEC Files Case Against Daniel B. Vazquez Sr. and Hoplon Financial Group   Have you lost money investing in the New Economic Opportunities Fund I through financial advisor Daniel B. Vazquez, Sr.?  The Securities and Exchange Commission (SEC) filed a complaint against Vazquez and his investment advisory firm, Hoplon Financial Group, regarding the New Economic …
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22
Jan

SENIORS BEWARE! Financial Advisor MELVIN CASE – Jacksonville, FL

Investigation of David Austin of J.P. Morgan in Grand Rapids, MI
Melvin Case, formerly with LPL Financial, Suspended from the Securities Industry   Have you lost money with financial advisor Melvin Case of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Melvin E. Case. FINRA suspended Case from the securities industry for 6 months and fined him $5,000 regarding …
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22
Jan

Have you Lost Money with SANDEEP VARMA of LPL Financial?

Losses with Ronald Hannes of Woodbury Financial in Spokane, WA
Sandeep Varma, formerly with LPL Financial, Suspended from the Securities Industry   Have you lost money with financial advisor Sandeep Varma of San Diego, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sandeep Varma. FINRA suspended Varma from the securities industry for 10 days and fined him $15,000 regarding …
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18
Jan

WARNING! Investigation of RICHARD FOSTER – Tulsa, OK

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Richard Foster from Tulsa, Oklahoma, Suspended Six Months from Securities Industry   Have you lost money with financial advisor Richard Foster of Tulsa, Oklahoma?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Charles Foster. FINRA suspended Foster from the securities industry for six months and fined him $10,000 after …
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17
Jan

WARNING! Investigation of RICHARD SHOTZ, Financial Advisor

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Richard Shotz, formerly of Morgan Stanley, Suspended 4 Months from Securities Industry   Have you lost money with financial advisor Richard Shotz of Daytona Beach, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard Alan Shotz. FINRA suspended Shotz from the securities industry for 4 months and fined him …
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17
Jan

FRAUD ALERT! Advisor MATTHEW PEREGOY of INVESTORS CAPITAL CORP. Barred

Losses with Ronald Hannes of Woodbury Financial in Spokane, WA
Matthew Peregoy, formerly with Investors Capital Corp., Barred from the Securities Industry   Have you lost money with financial advisor Matthew Peregoy of Brick, New Jersey?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew E. Peregoy. FINRA barred Peregoy from the securities industry after he failed to respond to …
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17
Jan

FRAUD ALERT! Advisor MATTHEW KERBY of EDWARD JONES Swindles Elderly Customer

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
Matthew Kerby, formerly with Edward Jones, Barred from the Securities Industry   Have you lost money with financial advisor Matthew Kerby of Paoli, Indiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew D. Kerby. FINRA barred Kerby from the securities industry after he failed to respond to a FINRA …
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