SEARCH OUR BLOGS
30
May

Investor Warning! LAURENCE BALTER – Fox Island, WA

INVESTOR ALERT! Frederick Holloway
SEC Bars Laurence Balter of Fox Island, Washington from the Securities Industry   Have you lost money with investment advisor Laurence Balter of Fox Island, Washington?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Laurence I. Balter, a former registered investment advisor with Oracle Investment Research.  Balter previously managed a …
Read More "Investor Warning! LAURENCE BALTER – Fox Island, WA"
30
May

CHRISTOPHER JORGENSEN – Setauket, NY

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
Christopher Jorgensen, formerly of Summit Brokerage Services, Barred from Securities Industry   Have you lost money with financial advisor Christopher Jorgensen of Setauket, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher S. Jorgensen. FINRA barred Jorgensen from the securities industry after he failed to respond to a …
Read More "CHRISTOPHER JORGENSEN – Setauket, NY"
23
May

Investor Warning! CHRISTOPHER LIPPUS – Farmingdale, NY

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Christopher Lippus, formerly of Arive Capital Markets, Barred from Securities Industry   Have you lost money with financial advisor Christopher Lippus of Farmingdale, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher M. Lippus. FINRA barred Lippus from the securities industry after he failed to respond to a …
Read More "Investor Warning! CHRISTOPHER LIPPUS – Farmingdale, NY"
19
May

UPDATE! RICHARD MCCOLLAM SUSPENDED

Investigation update: Daniel Arcuri of Thrivent Investment Mgmt in Greensburg, PA
Richard McCollam, formerly of National Planning Corp., Suspended Nine Months by FINRA   Have you lost money with financial advisor Richard McCollam of Lafayette, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard A. McCollam. FINRA was investigating Richard McCollam regading allegations that he willfully failed to disclose two …
Read More "UPDATE! RICHARD MCCOLLAM SUSPENDED"
17
May

WARNING! Investigation: RICHARD MCCOLLAM of LAFAYETTE, CA

INVESTOR ALERT! John McKinstry of Moloney Securities in St. Louis, MO
Richard McCollam, formerly of National Planning Corp., Subject of FINRA Investigation   Have you lost money with financial advisor Richard McCollam of Lafayette, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Richard A. McCollam. FINRA is investigating Richard McCollam regading allegations that he willfully failed to disclose two customer …
Read More "WARNING! Investigation: RICHARD MCCOLLAM of LAFAYETTE, CA"
17
May

WARNING! Investigation: LANDON WILLIAMS of JACKSONVILLE, FL

WARNING! Timothy Beall
Landon Williams, formerly of Merrill Lynch, Subject of FINRA Complaint   Have you lost money with financial advisor Landon Williams of Jacksonville, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Landon L. Williams. FINRA is investigating Landon Williams regarding allegations that he made false and misleading representations to customers …
Read More "WARNING! Investigation: LANDON WILLIAMS of JACKSONVILLE, FL"
12
May

WARNING! Investigation: EUGENE RIGGIO of HAWTHORNE, NY

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Eugene Riggio, formerly of Wilmington Capital Securities, Barred from Securities Industry   Have you lost money with financial advisor Eugene Riggio of Hawthorne, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eugene A. Riggio. FINRA barred Riggio from the securities industry after he failed to respond to a …
Read More "WARNING! Investigation: EUGENE RIGGIO of HAWTHORNE, NY"
11
May

WARNING! Investigation: ANTHONY CUMMINGS of LUTHERVILLE, MD

INVESTOR ALERT! Brian DiJulio of NBC Securities in Bellevue Washington
Anthony Cummings, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Anthony Cummings of Lutherville Timonium, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony John Cummings. FINRA was investigating Cummings after he was alleged to have converted $60,000 from a client with …
Read More "WARNING! Investigation: ANTHONY CUMMINGS of LUTHERVILLE, MD"