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29
Mar

UPDATE! Daniel Glick and TransAmerica Financial Advisors

Investment scam: LPL Financial
Daniel Glick and TransAmerica Financial Advisors   Have you lost money with financial advisor Daniel Glick from Orland Park, Illinois?  We are currently investigating claims made by FINRA, the Financial Industry Regulatory Authority.  Daniel H. Glick was barred by FINRA for failing to respond to an investigation.  FINRA was investigating Glick over allegations that he …
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29
Mar

INVESTOR WARNING! Investment Professionals, Inc.

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Investment Professionals, Inc. Settles with Massachusetts Securities Division Regarding Variable Annuities, Market Linked CDs, and Non-Traded REITs   Have you invested in variable annuities, market linked CD, or non-traded REITs (real estate investment trusts) through the brokerage firm, Investment Professionals, Inc.?  We are investigating allegations made by the Massachusetts Securities Division against Investment Professionals, Inc. …
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28
Mar

WARNING to INVESTORS: William Quigley of Trident Partners

INVESTOR ALERT! Cory Williams
William Quigley, Former Compliance Officer at Trident Partners, Ltd., Barred from Securities Industry   Have you lost money with financial advisor William Quigley from Seaford and Woodbury, New York?  We are investigating allegations made by the SEC and reported by InvestNews.com made against Quigley.   The SEC alleged that William Michael Quigley, the former Chief Compliance …
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26
Mar

WARNING TO INVESTORS! Norman Farra of International Assets Advisory

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
Norman Farra, formerly of International Assets Advisory, Barred from Securities Industry   Have you lost money with financial advisor Norman Farra of Tampa, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Norman Kirby Farra, Jr. FINRA barred Farra from the securities industry after he failed to respond to a …
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23
Mar

WARNING TO INVESTORS! TGP Securities

INVESTOR ALERT! Parkland Securities and ETFs
TGP Securities Fined $10,000 for Failing to Supervise Private Securities Transactions   We are currently investigating allegations made against TGP Securities, a Summit, New Jersey-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, alleging that it failed to supervise two representatives’ sales of private securities offerings through …
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20
Mar

Attorney David Neuman Is Quoted Again in the Seattle Times Regarding Bellevue Investment Advisor Chris Yoo’s Guilty Plea

WARNING! Michael Giokas
  Attorney David Neuman Is Quoted Again in the Seattle Times Regarding Bellevue Investment Advisor Chris Yoo’s Guilty Plea   Attorney David Neuman was quoted a second time in the Seattle Times on March 20, 2017, regarding Bellevue, Washington investment advisor Chris Yoo, who just pleaded guilty to wire fraud.  The article was written by …
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15
Mar

INVESTOR ALERT! Jeff Wilson – Las Cruces, NM

INVESTOR ALERT: Cynthia Couyoumjian of Independent Financial in San Diego and Tustin, CA
Arbitration Award Against Wells Fargo Advisors Regarding Advisor Jeff Wilson   In Pryor v. Wells Fargo Advisors, a claimant brought claims against Wells Fargo Advisors, LLC, regarding the conduct of financial advisor Jeff R. Wilson from Las Cruces, New Mexico.  The claimant alleged fraud, negligent misrepresentation, breach of fiduciary duty, negligent supervision, and violations of …
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13
Mar

INVESTOR ALERT! Michael Mason, Edward Jones – Cordova, TN

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
Michael Mason, formerly of Edward Jones, Barred by FINRA   Have you lost money with financial advisor Michael Mason of Cordova, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Jean-Paul Mason. FINRA barred Mason after he failed to respond to an investigation regarding allegations of falsifying client information …
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