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8
Dec

How to Recover Investment Losses with WOODBRIDGE GROUP OF COMPANIES

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
How to Recover Investment Losses in the Woodbridge Group of Companies   Have you lost money investing in the Woodbridge Group of Companies?  The Securities and Exchange Commission (SEC) recently initiated an investigation into whether the Woodbridge Group of Companies violated the anti-fraud provisions of the federal securities statutes.  The SEC initially filed papers with …
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7
Dec

WARNING! Impending Investigation – CAPITAL CITY SECURITIES

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Capital City Securities Settles with FINRA Over Sales of Inverse and Leveraged ETFs   Have you lost money investing in ETFs with Capital City Securities?  We are currently investigating allegations made against Capital City Securities, LLC, a Columbus, Ohio-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Capital City …
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5
Dec

WARNING! Impending Investigation – JOSEPH KRUEGER

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Joseph Krueger from Westlake, Ohio Suspended From Securities Industry   Have you lost money with financial advisor Joseph Krueger of Westlake, Ohio?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Joseph Daniel Krueger II. FINRA suspended Joseph Krueger from the securities industry for three months after he was terminated by …
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29
Nov

WARNING! Impending Investigation – PAULA HAROLD

WARNING! Jeffery Kelly
Paula Harold, formerly of PFS Investments, Suspended 18 Months from Securities Industry   Have you lost money with financial advisor Paula Harold of Ontario, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paula Louise Harold. FINRA suspended Harold from the securities industry for 18 months and fined $5,000 regarding …
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29
Nov

WARNING! Impending Investigation – DAVID REYNOLDS

INVESTOR ALERT! Mark Christiansen of United Planners in Woodinville WA
David Reynolds from Modesto, California Barred From Securities Industry   Have you lost money with financial advisor David Reynolds of Modesto, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against David Lee Reynolds. FINRA barred David Reynolds from the securities industry after he failed to respond to an investigation.  FINRA …
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22
Nov

WARNING! Impending Investigation – BRIAN GIMELSON

WARNING! James Daughtry of Kestra Investment Services in Dothan, Alabama
Brian Gimelson from Princeton, New Jersey Barred From Securities Industry   Have you lost money with financial advisor Brian Gimelson of Princeton, New Jersey?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Brian F. Gimelson. FINRA barred Brian Gimelson from the securities industry after he failed to respond to an …
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