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7
Apr

UPDATE! Mid Atlantic Capital Corporation Fined $100,000.00

INVESTOR ALERT! Cory Williams
Mid Atlantic Capital Corporation Fined $100,000 Over Failing to Supervise Walter Grenda, Timothy Dembski, and the Prestige Wealth Management Fund   Have you lost money with financial advisors Walter Grenda, Timothy Dembski and Reliance Financial Advisors from the Buffalo, New York area?  Dembski previously agreed to be barred from the securities industry by FINRA, the …
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7
Apr

UPDATE! Tracy Turner of California

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
Tracy Turner Barred from Securities Industry for Sales of Investments in Saltwater Disposal Well Facilities   Have you lost money with financial advisor Tracy Turner of San Marcos and Carlsbad, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Tracy R. Turner. In November 2016, FINRA filed a complaint against …
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6
Apr

WARNING! Impending Investigation: GARY CASILL and LIFE PARTNERS, INC.

INVESTOR ALERT! Piero DiLorenzo of NYLife Securities in Melville, NY
Gary Cassill (Tukwila, Washington) and Life Partners, Inc.   Have you lost money with financial advisor Gary Cassill from Tukwila and Lake Tapps, Washington?  We are continuing our investigation allegations made against Cassill.  The Washington Division of Securities brought a regulatory complaint against Gary Cassill, alleging that he sold $712,000 in interests in Life Partners, …
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5
Apr

INVESTOR WARNING! Lloyd Dotson – Commonwealth Financial Network

WARNING! James McKinney of Cetera Advisors in Tulsa, Oklahoma OK
Lloyd Dotson, formerly of Commonwealth Financial Network, Barred from Securities Industry   Have you lost money with financial advisor Lloyd Dotson of New Canaan, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lloyd H. Dotson. FINRA barred Dotson from the securities industry after he failed to respond to a …
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5
Apr

INVESTOR WARNING! John Oldham of NPB Financial Group

INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut
John Oldham from Wautoma, Wisconsin Suspended by FINRA   Have you lost money with financial advisor John Oldham from Wautoma, Wisconsin?  We are currently investigating allegations made against John C. Oldham, who previously worked with NPB Financial Group.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Oldham, alleging that he entered …
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5
Apr

INVESTOR ALERT! George Merhoff and Cetera Advisors FINED $70,000

George Merhoff, Jr. and Cetera Advisors Fined $70,000 by Oregon   Have you lost money with financial advisor George C. Merhoff, Jr. from Klamath Falls, Oregon?  We are investigating allegations made by the Oregon Division of Financial Regulation against George Merhoff and his brokerage firm, Cetera Advisors.   According to Oregon’s allegations, Merhoff recommended that …
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5
Apr

INVESTOR WARNING! Neal Moon of Waddell Reed – Dallas, TX

INVESTOR ALERT! Parkland Securities and ETFs
Neal Moon, formerly of Waddell & Reed, Barred from Securities Industry   Have you lost money with financial advisor Neal Moon of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Neal Charles Moon. FINRA barred Moon from the securities industry after he engaged in unauthorized outside business activities …
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4
Apr

WARNING! Impending Investigation: KEVIN BONNER and LINCOLN FINANCIAL SECURITIES

WARNING! James Flower of SW Financial in Melville, NY
Kevin Bonner, formerly of Lincoln Financial Securities Corp., Subject of Washington Securities Complaint   Have you lost money with financial advisor Kevin Bonner from Seattle and Burien, Washington?  We are continuing our investigation allegations made against Bonner.  The Washington Division of Securities brought a regulatory complaint against Kevin Ray Bonner, alleging that he borrowed $50,000 …
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3
Apr

UPDATE! KCD Financial

INVESTOR ALERT! Chelsea Financial Services and Charles Bloom in Royal Palm Beach, FL
KCD Financial, Inc. Fine Upheld Over Sales of WRF Distressed Residential Fund 2011   We are currently investigating allegations made against KCD Financial, Inc., a Green Bay (previously De Pere), Wisconsion-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against KCD Financial, alleging that it failed to reasonably supervise the …
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