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17
Oct

Investigation of Robert DelGuercio – New Jersey

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
Robert DelGuercio from Iselin, New Jersey Barred From Securities Industry   Have you lost money with financial advisor Robert DelGuercio of Iselin, New Jersey?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Robert Baldwin Del Guercio. FINRA barred Robert DelGuercio from the securities industry after he failed to respond to …
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17
Oct

WARNING! Investigation of JASPER BOYKIN

INVESTOR ALERT! Eldridge Parks of Raymond James in Saginaw, MI
Jasper Boykin from Atlanta, Georgia Subject of FINRA Complaint   Have you lost money with financial advisor Jasper Boykin of Atlanta, Georgia?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Jasper E. Boykin, Jr. FINRA filed a complaint against Jasper Boykin after he failed to respond to an investigation.  FINRA …
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15
Oct

WARNING! Impending Investigation of ANDREW HARDIE

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Andrew Hardie, formerly with Stifel Nicolaus, Subject of SEC Complaint   Have you lost money with financial advisor Andrew Hardie of Rogers, Arkansas?  We are investigating allegations made by the Arkansas Securities Department.   Arkansas alleged that Hardie bought and sold inverse and leveraged ETFs (exchange traded funds) in his customers’ accounts without having a reasonable …
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15
Oct

AARON O’NEAL Lightfleet Investment Complaints – Lake Oswego

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
Aaron O’Neal of MetLife Securities in Lake Oswego, Oregon Subject of Washington Division of Securities Complaint   Have you lost money with financial advisor Aaron O’Neal from Lake Oswego, Washington?  The law firm of Israels & Neuman is investigating allegations made against Aaron David O’Neal, who previously was registered with MetLife Securities in Lake Oswego, …
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12
Oct

WARNING! Investigation of KENNETH NEUNER

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Kenneth Neuner from Dallas, Texas Barred From Securities Industry   Have you lost money with financial advisor Kenneth Neuner of Dallas, Texas?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Kenneth B. Neuner. FINRA barred Kenneth Neuner from the securities industry after he failed to respond to an investigation.  FINRA …
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12
Oct

WARNING! Investigation of DARTANIAN SANDERS

INVESTOR ALERT! Dana Bruce Vietor of Cape Securities and CFD Investments in Texas and Iowa
Dartanian Sanders from Metairie, Louisiana Barred From Securities Industry   Have you lost money with financial advisor Dartanian Sanders of Metairie, Louisiana?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Dartanian VJ Sanders. FINRA barred Dartanian Sanders from the securities industry after he failed to fully respond to an investigation.  …
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11
Oct

WARNING! Investigation of TERRENCE DIEHL

WARNING! James Daughtry of Kestra Investment Services in Dothan, Alabama
Terrence Diehl, formerly of LPL Financial, Suspended from Securities Industry for Nine Months   Have you lost money with financial advisor Terrence Diehl of Victor, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Terrence J. Diehl. FINRA suspended Diehl from the securities industry for nine months, fined him …
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9
Oct

UPDATE! RICHARD CODY and JILL CODY

Update! Gregory Pease of Wells Fargo in Red Bank, NJ
Richard Cody, formerly Spring Lake, New Jersey, Indicted for Investment Advisor Fraud   Have you lost money with financial advisor Richard Cody and Jill Cody of Spring Lake, New Jersey and formerly of Boston, Massachusetts?  We are continuing our investigation into allegations made by the Securities and Exchange Commission (SEC) against Richard G. Cody, a …
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9
Oct

WARNING! Investigation of WALTER MARINO

Investor Alert: Jeremy Rosen of Berthel Fisher in Easton, PA
Walter Marino from Bohemia, New York, Suspended by FINRA for One Year   Have you lost money with financial advisor Walter Marino from Bohemia, New York?  We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walter J. Marino. In an April 2017 complaint, FINRA alleged that Walter …
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