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16
Jan

If You Invested With GUILLERMO VALLADOLID of MORGAN STANLEY, You May Be a Victim of FRAUD

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
Guillermo Valladolid, formerly with Morgan Stanley, Barred from the Securities Industry   Have you lost money with financial advisor Guillermo Valladolid of La Jolla, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Guillermo W. Valladolid. FINRA barred Valladolid from the securities industry after he failed to respond to a …
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11
Jan

Financial Advisor RICHARD HOHOL of CETERA Suspended and Fined

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Richard Hohol from Roselle, Illinois, Suspended Two Months from Securities Industry   Have you lost money with financial advisor Richard Hohol of Roselle, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard P. Hohol. FINRA suspended Hohol from the securities industry for two months and fined him $5,000.  FINRA …
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11
Jan

Can I Sue Financial Advisor BRIAN MURPHY or his Brokerage Firm?

INVESTIGATION: Daniel Levine of Morgan Stanley
Financial Advisor Brian Murphy from Moorestown, New Jersey Sentenced to Seven Years in Prison   Have you lost money with financial advisor Brian Murphy of Moorestown, New Jersey?  We are continuing our investigation into allegations made by nj.com against Brian Patrick Murphy. Murphy, who did business as Murphy Financial Advisors, was alleged to have stolen …
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10
Jan

Have you lost money with LUCIA SECURITIES?

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Lucia Securities, LLC and Consolidated Reports – How to Recover Potential Losses   We are currently investigating allegations made against Lucia Securities, LLC, a San Diego, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lucia Securities, making allegations regarding its failure to supervise consolidated reports from January 2016 …
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10
Jan

Investigation Into DOUGLAS LEONE of SALOMON WHITNEY FINANCIAL

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Douglas Leone, formerly with Salomon Whitney Financial, Suspended from the Securities Industry   Have you lost money with financial advisor Douglas Leone of Melville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas A. Leone. FINRA seeks to bar Leone from the securities industry after he failed to …
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9
Jan

Have You Lost Investment Money Due to JAMES TAO or DONNA CHEN?

INVESTIGATION! Michael Lessard, Southeast Investments, North and South Carolina
James Tao, from Houston, Texas, Barred by SEC   Have you lost money with financial advisors James Tao and Donna Boyd of Houston, Texas?  We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC) against James C. Tao, a former registered representative of Sunbelt Securities.  In December 2017, the SEC …
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9
Jan

How to Recover Losses Due to Advisor LARRY BOGGS

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Larry Boggs, formerly with Ameriprise Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Larry Boggs from Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Larry M. Boggs.  FINRA alleged that Boggs excessively traded or churned four customers’ accounts.  To settle these allegations, …
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3
Jan

Investment Losses with KEVIN JEDLICKA of CHAPIN DAVIS – How to Recover Your Potential Losses

Investment Losses with Kevin Jedlicka
Kevin Jedlicka, formerly of Chapin Davis, Suspended from Securities Industry for Six Months   Have you lost money with financial advisor Kevin Jedlicka of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin J. Jedlicka. FINRA suspended Jedlicka from the securities industry for six months after he was …
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29
Dec

Have You Lost Money with CAROLINE KORN of BRIGHTON SECURITIES CORP.?

INVESTOR ALERT! Mark Kregor and Hilliard Lyons
Caroline Korn and Brighton Securities Corp.   Have you lost money with financial advisor Caroline Korn from Rochester, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Korn’s former brokerage firm, Brighton Securities Corp. FINRA alleged that Brighton Securities Corp. failed to adequately supervise Caroline Korn, when …
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29
Dec

This Law Firm Can Help Recover Potential Losses Due to JOHN JAMES

Investor ALERT! Robert Spiegel of First Standard Financial in Staten Island, NY
John James, formerly with Merrill Lynch, Barred from the Securities Industry   Have you lost money with financial advisor John James of Wayzata, Minnesota?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John M. James. FINRA barred James from the securities industry after he failed to respond to a FINRA …
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