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3
Aug

WARNING! Impending Investigation: JAMES FLEMING

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
James Fleming, formerly of Investors Capital Corp., Suspended from Securities Industry for Four Months   Have you lost money with financial advisor James Fleming of Worcester, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James S. Fleming, III. FINRA suspended Fleming from the securities industry for four months and …
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2
Aug

WARNING! Investigation of ERNEST ROMER III

INVESTOR ALERT! Brian DiJulio of NBC Securities in Bellevue Washington
Ernest Romer III, formerly of Corecap Investments, Barred from Securities Industry   Have you lost money with financial advisor Ernest Romer of Sterling Heights and Shelby Township, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ernest J. Romer III. FINRA barred Romer from the securities industry after he failed …
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1
Aug

WARNING! Impending Investigation: MICHAEL COLLETTI

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
Michael Colletti, formerly of National Securities Corp., Subject of FINRA Complaint   Have you lost money with financial advisor Michael Colletti of Melville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael C. Colletti. FINRA brought a claim against Colletti, making several allegations.   FINRA alleged that in …
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1
Aug

UPDATE! Roger Zullo BARRED

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Roger Zullo, formerly of LPL Financial, Barred by FINRA   Have you lost money with financial advisor Roger Zullo of Boston, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division and FINRA against Roger S. Zullo, an advisor formerly at LPL Financial LLC.  LPL Financial is also based out of Boston, Massachusetts.  Massachusetts …
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31
Jul

Investor Alert! BARRY HARTMAN & ERIC ROLSHOVEN – Missoula, MT

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Barry Hartman, Eric Rolshoven, and FSC Securities Corp.   Have you lost money with financial advisor Barry Hartman and Eric Rolshoven of Missoula, Montana?  We are investigating allegations made by the Montana Securities Commission against Eric Rolshoven and Barry Hartman, who were previously affiliated with FSC Securities Corp.  According to the complaint filed against Rolshoven, …
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31
Jul

FRAUD ALERT! LPL Financial, Christopher Laws, Jonathan Cooke, Danny Hood, & Brandon Long

Investment scam: LPL Financial
Former LPL Financial Brokers Christopher S. Laws, Jonathan D. Cooke, Danny S. Hood, and Brandon P. Long Subject of SEC Complaint   Have you lost money investing with Christopher Laws, Jonathan Cooke, Danny Hood, or Brandon Long? Christopher Laws, Jonathan Cooke, Danny Hood, and Brandon Long were recently the subject of a regulatory action by …
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28
Jul

Investor Alert! THOMAS LAWRENCE – Chapel Hill, TN

Investigation of David Austin of J.P. Morgan in Grand Rapids, MI
Thomas Lawrence, from Chapel Hill, Tennessee, Subject of FINRA Complaint   Have you lost money with financial advisor Thomas Lawrence of Chapel Hill, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas H. Lawrence III. FINRA recently brought a regulatory complaint against Lawrence.  FINRA was investigating Lawrence regarding allegations …
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