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11
Aug

WARNING! Impending Investigation: FSC SECURITIES CORP.

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
FSC Securities Corp. Settles with FINRA Over Sales of Inverse and Leveraged ETFs   We are currently investigating allegations made against FSC Securities Corp., Inc., an Atlanta, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against FSC Securities Corp., making allegations that it failed to supervise the sales of …
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11
Aug

WARNING! Impending Investigation: PATRICK HUDSON

INVESTOR ALERT! Paul Petrillo of Thrivent Investments in Volo, IL
Patrick Hudson, formerly of RBC Capital Markets, Suspended Six Months from Securities Industry   Have you lost money with Patrick Hudson of Baltimore, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick M. Hudson. FINRA suspended Hudson from the securities industry for six months and fined him $10,000.  FINRA …
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11
Aug

WARNING! Impending Investigation: JEFFREY DELONE

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Jeffrey Delone, formerly of FSC Securities Corp., Suspended Six Months from Securities Industry   We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey W. Delone, from Malvern, Pennsylvania. FINRA suspended Delone from the securities industry for six months and fined him $10,000.  FINRA was investigating Delone to determine whether engaged …
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10
Aug

WARNING! Impending Investigation: SHELLEY FREEMAN

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
Shelley Freeman, formerly of Wells Fargo, Barred from Securities Industry   Have you lost money with financial advisor Shelley Freeman of Beverly Hills, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Shelley S. Freeman. FINRA barred Freeman from the securities industry after she failed to respond to a FINRA …
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3
Aug

WARNING! Impending Investigation: RALPH VILLAVICENCIO

INVESTOR ALERT! Frederick Holloway
Ralph Villavicencio, formerly of Edward Jones, Barred from Securities Industry   Have you lost money with financial advisor Ralph Villavicencio of Kirkland, Washington?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ralph Villanueva Villavicencio. FINRA barred Villavicencio from the securities industry after he failed to respond to a FINRA investigation.  …
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