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20
Sep

UPDATE! Cecil Nivens of NYLife SUSPENDED

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Cecil Nivens, formerly with NYLife Securities, Suspended Two Years by FINRA   Have you lost money with financial advisor Cecil Nivens of Gastonia, North Carolina?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Cecil E. Nivens. FINRA previously brought a complaint against Nivens in March 2017, alleging …
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20
Sep

UPDATE! BRANT RAY of Commonwealth Financial SUSPENDED

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
Brant Ray, formerly of Commonwealth Financial Network, Suspended 18 Months by FINRA   Have you lost money with financial advisor Brant Ray of Southhaven, Mississippi?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Brant Andrew Ray. FINRA was investigating Ray after he was alleged to have borrowed …
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19
Sep

How to Recover Funds Stolen by Broker ERNEST JULIUS ROMER, Formerly of Corecap Investments

FRAUD! Benjamin Bourgeois of Commonwealth Financial in Metairie LA BARRED
How to Recover Funds Stolen by Broker Ernest Julius Romer of Shelby Township and Corecap Investments   Ernest Julius Romer was a former financial advisor that was recently indicted for misappropriating nearly a half of a million dollars from his senior citizen clients.  According to the Detroit Free Press, he was charged with two counts …
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18
Sep

ALERT! TODD JONES of J.P. Morgan SUSPENDED

INVESTOR ALERT! Lawrence Hagedorn of O.N. Equity Sales in Andover, KS
Todd Jones, formerly of J.P. Morgan, Suspended Four Months from Securities Industry   Have you lost money with financial advisor Todd Jones of Seattle, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Todd Jason Jones. FINRA suspended Jones from the securities industry for four months and fined him $15,000. …
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17
Sep

UPDATE! Randall Gladden FINED $25,000

INVESTOR ALERT! Leonard Charles Kinsman of Wells Fargo in Staten Island, NY
Randall Gladden, formerly of Securities Equity Group, Fined $25,000 by Alaska   Have you lost money with financial advisor J. Randall Gladden from Aliso Viejo, California?    We are continuing to investigate allegations made by FINRA (the Financial Industry Regulatory Authority), as well as the Alaska Division of Banking and Securities, against Randall Gladden.   Alaska …
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15
Sep

WARNING! Impending Investigation-ANTHONY VULTAGGIO

WARNING! Timothy Beall
Anthony Vultaggio, formerly of American Capital Partners, Barred from Securities Industry   Have you lost money with financial advisor Anthony Vultaggio, Jr. of East Meadow, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Vultaggio, Jr. FINRA barred Vultaggio from the securities industry after he failed to respond …
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15
Sep

WARNING! Impending Investigation – LORENZO ESTAVA

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Lorenzo Estava, formerly of Merrill Lynch and UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Lorenzo Estava of Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lorenzo C. Estava. FINRA barred Estava from the securities industry after he failed to respond …
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11
Sep

WARNING! Impending Investigation – DREW JOHNSON

INVESTOR ALERT! Parkland Securities and ETFs
Drew Johnson, formerly of Girard Securities, Suspended Six Months from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Drew M. Johnson, from Coon Rapids, Minnesota. FINRA suspended Johnson from the securities industry for six months and fined him $5,000.  FINRA was investigating Drew Johnson to determine whether …
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11
Sep

WARNING! Impending Investigation – CFD INVESTMENTS

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
CFD Investments Settles with FINRA Over Sales of Inverse and Leveraged ETFs   We are currently investigating allegations made against CFD Investments, Inc., a Kokomo, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CFD Investments, making allegations that it failed to supervise the sales of non-traditional ETFs, which …
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