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12
Jun

INVESTOR ALERT! LAWRENCE M. THOMAS – North Attleboro, MA

INVESTOR ALERT! Piero DiLorenzo of NYLife Securities in Melville, NY
Lawrence M. Thomas, formerly of Woodbury Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Lawrence M. Thomas of North Attleboro, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence Marshall Thomas. FINRA barred Thomas from the securities industry after he failed to respond …
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12
Jun

INVESTOR ALERT! GERALDINE GORDON – Lexington, KY

Thomas Logue of American Independent Securities Group in Hinsdale, IL
Geraldine Gordon of Lexington, Kentucky Suspended by FINRA for Recommending “Speculative” Master Limited Partnership   Have you lost money with financial advisor Geraldine Gordon of Lexington, Kentucky?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Geraldine Gordon, an advisor at Ameriprise Financial Services.  FINRA alleged that Gordon recommended that her …
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12
Jun

INVESTOR ALERT! CHRISTOPHER HICKMAN – Delray Beach, FL

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Christopher Hickman of Delray Beach, Florida Suspended by FINRA for Unsuitable UIT Trading   Have you lost money with financial advisor Christopher Hickman of Delray Beach, Florida?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Christopher R. Hickman, a former advisor at Cetera Advisors.  FINRA alleged that Hickman engaged in …
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8
Jun

Investor Warning! ANTHONY VERZI – Melbourne, FL

INVESTOR ALERT! William Wobbe, Hilliard Lyons in Louisville KY
Anthony Verzi, formerly of Morgan Stanley, Barred from Securities Industry   Have you lost money with financial advisor Anthony Verzi of Melbourne, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony J. Verzi. FINRA barred Verzi from the securities industry after he failed to respond to a FINRA investigation.  …
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7
Jun

Investor Warning! JIM SEOL – Irvine, CA

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Jim Seol, formerly of Ameriprise Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Jim Seol of Irvine, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jim J. Seol. FINRA barred Seol from the securities industry after he failed to disclose outside business activities.  …
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7
Jun

Investor Warning! JAMES COX – Baton Rouge, LA

INVESTOR ALERT! Paul Petrillo of Thrivent Investments in Volo, IL
James Cox from Baton Rouge, Louisiana Suspended by FINRAFor Variable Annuity Recommendations   Have you lost money with financial advisor James Cox from Baton Rouge, Louisiana?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against James Keith Cox.  FINRA alleged that during 2014, James Cox made unsuitable recommendations to …
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