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6
Nov

WARNING! Investigation of VICTOR MICHEL

INVESTOR ALERT! Shakela Carter
Victor Michel from Westlake Village, California Barred From Securities Industry   Have you lost money with financial advisor Victor Michel of Westlake Village, California?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Victor Michel. FINRA barred Victor Michel from the securities industry after he failed to respond to an investigation.  …
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3
Nov

UPDATE! Demitrios Hallas of PHX Financial BARRED from Securities Industry

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
Demitrios Hallas, formerly with PHX Financial and Santander Securities, Barred by FINRA   Have you lost money with financial advisor Demitrios Hallas of New York, New York?  We are continuing our investigation into allegations made by the securities regulators against Hallas.  FINRA (the Financial Industry Regulatory Authority) barred Hallas from the securities industry after he …
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30
Oct

WARNING! Investigation of JEFFERY WALDERA

INVESTOR ALERT! John McKinstry of Moloney Securities in St. Louis, MO
Jeffery Waldera, from Onalaska, Wisconsin, Suspended for Five Months by FINRA   Have you lost money with financial advisor Jeffery Waldera of Onalaska, Wisconsin?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffery J. Waldera. FINRA brought a regulatory complaint against Waldera.  FINRA was investigating Waldera regarding …
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26
Oct

INVESTOR ALERT! Thomas Breslin of LPL FINANCIAL Suspended

Investor Alert! Antonio Puente aka Tony Puente of VALIC Financial in Miami, FL
Thomas Breslin, formerly of LPL Financial, Suspended from Securities Industry for Five Months   Have you lost money with financial advisor Thomas Breslin of San Diego, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas J. Breslin, Jr. FINRA suspended Breslin from the securities industry for five months and …
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25
Oct

WARNING! Investigation – LANDON WILLIAMS

INVESTOR ALERT! John Buck
Landon Williams, formerly of Merrill Lynch, Suspended Two Years by FINRA   Have you lost money with financial advisor Landon Williams of Jacksonville, Florida?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA began investigating Landon Williams regarding allegations that he made false and …
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21
Oct

WARNING! Impending Investigation – RICK KONECNY

Investigation - Brian Engstrom of Oppenheimer in Tampa, FL
Rick Konecny from Chicago, Illinois Suspended From Securities Industry   Have you lost money with financial advisor Rick Konecny of Chicago, Illinois?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Rick D. Konecny. FINRA suspended Rick Konecny from the securities industry after he failed to respond to an investigation.  FINRA …
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18
Oct

WARNING! Impending Investigation – JOSEPH COTTER

WARNING! Arthur Meunier and Arthur Breitman
Joseph Cotter from Charlotte, North Carolina, Suspended for Excessive Trading   We are currently investigating allegations made against Joseph L. Cotter, a financial advisor from Charlotte, North Carolina who previously worked with Next Financial Group.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Cotter making various allegations, including that Cotter engaged …
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18
Oct

WARNING! Investigation of COLEMAN DEVLIN

INVESTOR ALERT! John McKinstry of Moloney Securities in St. Louis, MO
Coleman Devlin, formerly of Stifel Nicolaus & Company, Suspended by FINRA   Have you lost money with financial advisor Coleman Devlin of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Coleman J. Devlin. FINRA suspended Devlin from the securities industry for 30 days and fined him $5,000 regarding …
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