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7
Sep

UPDATE! William Glaser BARRED

INVESTOR ALERT! Bryce Jenney of Raymond James in Nashville, TN
William Glaser, formerly of National Planning Corporation, Barred from Securities Industry   Have you lost money with financial advisor William Glaser of St. Albans, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William (or Bill) A. Glaser.  Our firm currently represents victims of Bill Glaser.  Our clients’ story has …
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7
Sep

WARNING! Impending Investigation – SCOTT NEWSHOLME

INVESTOR ALERT! Piero DiLorenzo of NYLife Securities in Melville, NY
Scott Newsholme, formerly with SII Investments, Subject of SEC Complaint   Have you lost money with financial advisor Scott Newsholme of Farmingdale, New Jersey?  We are investigating allegations made by the Securities and Exchange Commission (SEC).   The SEC alleged that Newsholme fraudulently induced elderly investors to invest with him but instead put their money in …
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2
Sep

WARNING! Investigation of ALONZA BARNETT

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Alonza Barnett from Greensboro, North Carolina Barred From Securities Industry   Have you lost money with financial advisor Alonza Barnett of Greensboro, North Carolina?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Alonza Barnett, Jr. FINRA barred Alonza Barnett from the securities industry after he failed to respond to an …
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1
Sep

WARNING! Impending Investigation – WILLIAM KIMBERLIN

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
William Kimberlin, formerly of MetLife Securities, Suspended Eighteen Months from Securities Industry   Have you lost money with William Kimberlin of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William Roy Kimberlin.  FINRA suspended him from the securities industry for eighteen months and fined him $15,000.  Their investigation …
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1
Sep

ALERT! Sampson Pearson SUSPENDED from Securities Industry

INVESTOR ALERT! Joshua Stivers of Kalos Capital and Platinum Wealth Advisory in Austin TX
Sampson Pearson Jr., formerly of Northwestern Mutual, Suspended from Securities Industry   Have you lost money with financial advisor Sampson Pearson, Jr. of Milwaukee, Wisconsin?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sampson Pearson. FINRA suspended Pearson from the securities industry after he failed to respond to a FINRA …
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1
Sep

ALERT! Steven Bonner BARRED from Securities Industry

INVESTOR ALERT! Mark Christiansen of United Planners in Woodinville WA
Steven Bonner, formerly of Principal Securities, Barred from Securities Industry   Have you lost money with financial advisor Steven Bonner of San Jose, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Steven Eugene Bonner. FINRA suspended Bonner from the securities industry after he failed to respond to a FINRA …
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1
Sep

WARNING! Impending Investigation – LEON VACCARELLI

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Leon Vaccarelli, formerly with the Investment Center, Subject of SEC Complaint   Have you lost money with financial advisor Leon Vaccarelli of Waterbury, Connecticut?  We are investigating allegations made by the Securities and Exchange Commission (SEC).   The SEC alleged that Vaccarelli fraudulently induced elderly investors to invest with him but instead but their money on …
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1
Sep

INVESTOR WARNING! DAEIL RO Barred by Securities Division

WARNING! Jerry Wells of MetLife in Rochester and Evanston, NY
Daeil Ro, formerly of Merrill Lynch, Barred by Washington Securities Division for Five Years   Have you lost money with financial advisor Daeil Dave Ro from Tacoma and Federal Way, Washington?  We are continuing our investigation allegations made against Ro.  The Washington Division of Securities brought a regulatory complaint against Daeil Dave Ro, alleging that …
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31
Aug

WARNING! Impending Investigation – ELAINE LaCERTE

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Elaine LaCerte, formerly of Morgan Stanley, Suspended from Securities Industry for Four Months   Have you lost money with financial advisor Elaine LaCerte of Colorado Springs, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Elaine D. LaCerte. FINRA suspended LaCerte from the securities industry for six months and fined …
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