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2
May

WARNING! Impending Investigation: BRANT RAY – COMMONWEALTH FINANCIAL NETWORK

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Brant Ray, formerly of Commonwealth Financial Network, Subject of FINRA Complaint   Have you lost money with financial advisor Brant Ray of Southhaven, Mississippi?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brant Andrew Ray. FINRA was investigating Ray after he was alleged to have borrowed $50,000 from a client.  …
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2
May

WARNING! Impending Investigation: JONATHAN LO of NYLIFE SECURITIES

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
Jonathan Lo, formerly of NYLife Securities, Barred from Securities Industry   Have you lost money with financial advisor Jonathan Lo of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jonathan M. Lo. FINRA barred Lo from the securities industry after he failed to respond to a …
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27
Apr

WARNING! Impending Investigation: RONALD BROADSTONE – New Albany, OH

INVESTOR ALERT! Susan Welo
Ronald Broadstone, formerly of UBS Financial Services, Barred from Securities Industry   Have you lost money with financial advisor Ronald Broadstone of New Albany, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ronald Dale Broadstone. FINRA barred Broadstone from the securities industry after he failed to respond to a …
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27
Apr

WARNING! Impending Investigation: JOSE R. GONZALES of Chicago, IL

INVESTOR ALERT! Ma Rosa Linan Abrego of Merrill Lynch in McAllen, TX
Jose R. Gonzalez, formerly of American Trust Investment Services, Barred from Securities Industry   Have you lost money with financial advisor Jose Gonzalez of Chicago, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jose Ramon Gonzalez. FINRA barred Gonzalez from the securities industry after he failed to respond to …
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26
Apr

UPDATE! Jeffrey Hill of Dougherty & Co. Suspended by Minnesota

WARNING! Jeffrey Hill
Jeffrey Hill, formerly of Dougherty & Company, LLC, Suspended by Minnesota for One Year   Have you lost money with financial advisor Jeffrey Hill of Bemidji, Minnesota?  We are investigating allegations made by the FINRA (the Financial Industry Regulatory Authority), as well as the Minnesota Commission of Commerce, against Jeffrey A. Hill and his former …
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26
Apr

UPDATE! Tracy Wengert FINED $1.5 Million

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
Tracy Wengert, formerly of TransAmerica Financial Advisors, Fined $1.5 Million by Arizona   Have you lost money with financial advisor Tracy Wengert of Mesa, Arizona?  We are investigating allegations made by the Arizona Corporation Commission against Wengert.  Arizona alleged that he induced customers of his brokerage firm, TransAmerica Financial Advisors, to open up separate accounts …
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26
Apr

UPDATE! Randall Gladden Securities License REVOKED

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Randall Gladden, formerly with Securities Equity Group, Has License Revoked by Arizona Corporation Commission Investigation   Have you lost money with financial advisor J. Randall Gladden from Aliso Viejo, California?    We are continuing our investigation into allegations made by FINRA (the Financial Industry Regulatory Authority) and the Arizona Corporation Commission against Randall Gladden.  FINRA alleged …
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25
Apr

INVESTOR ALERT! Walter Marino – Bohemia, NY

Thomas Logue of American Independent Securities Group in Hinsdale, IL
Walter Marino from Bohemia, New York Subject of FINRA Complaint For Variable Annuity Recommendations   Have you lost money with financial advisor Walter Marino from Bohemia, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Walter J. Marino. FINRA alleged that Walter Marino made unsuitable recommendations to …
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18
Apr

INVESTOR WARNING! Ann Comcowich – Prudential Investment Management

WARNING! James Flower of SW Financial in Melville, NY
Ann Comcowich, formerly of Prudential Investment Management Services, Barred from Securities Industry   Have you lost money with financial advisor Ann Comcowich of Scranton, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ann Marie Comcowich. FINRA barred Comcowich from the securities industry after he failed to respond to a …
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