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13
Mar

UPDATE! Glenn McDowell – New York, NY

UPDATE! Eric Credle of Pruco Securities in Indianapolis, IN
Glenn McDowell Barred by FINRA for Unauthorized Trading   Have you lost money with financial advisor Glenn McDowell of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Glenn McDowell, also known as Clemond St. Aubyn McDowall. In October 2016, FINRA filed a complaint against McDowell, alleging …
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7
Mar

INVESTOR ALERT! Southeast Investments, N.C.

INVESTOR ALERT! John McKinstry of Moloney Securities in St. Louis, MO
Southeast Investments, N.C., Inc. and Frank H. Black   We are currently investigating allegations made against Southeast Investments, N.C., Inc., a Charlotte, North Carolina-based securities brokerage firm, and its former President, Chief Compliance Officer, Chief Financial Officer, and FINOP, Frank H. Black.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Southeast Investments, …
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3
Mar

INVESTOR ALERT! Cecil Nivens – Gastonia, NC

INVESTOR ALERT! Frederick Holloway
Cecil Nivens from Gastonia, North Carolina, Subject of FINRA Complaint   Have you lost money with financial advisor Cecil Nivens of Gastonia, North Carolina?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Cecil E. Nivens. FINRA brought a complaint against Nivens, alleging that he recommended that his customers purchase variable …
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1
Mar

INVESTOR ALERT! Harold Pomeranz – Garden City, NY

INVESTOR ALERT! Piero DiLorenzo of NYLife Securities in Melville, NY
Harold Pomeranz from Garden City, New York Suspended For UIT Recommendations   Have you lost money with financial advisor Harold Pomeranz from Garden City, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Harold S. Pomeranz. FINRA alleged that Harold Pomeranz made unsuitable recommendations to his customers …
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1
Mar

UPDATE! Craig Dima Barred by FINRA

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Craig Dima of Ronkonkoma, New York Barred by FINRA   Have you lost money with financial advisor Craig Dima of Ronkonkoma, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Craig D. Dima. FINRA filed a complaint against Dima, alleging that he engaged in unauthorized trading in the account …
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24
Feb

INVESTOR ALERT! Cynthia Bolker, NYLife Securities

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
Cynthia Bolker, formerly of NYLife Securities, Barred by Oregon Division of Financial Regulation   Have you lost money with financial advisor Cynthia Bolker of San Diego, California?  We are investigating allegations made by the Oregon Division of Financial Regulation against Cynthia Robin Bolker. Oregon barred Bolker after she allegedly borrowed money from customers, in violation …
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24
Feb

INVESTOR ALERT! Joe Treece – Rogers, Arkansas

INVESTOR ALERT! Piero DiLorenzo of NYLife Securities in Melville, NY
Joe Treece, formerly of Raymond James & Associates, Subject of Oklahoma Securities Commission Action   Have you lost money with financial advisor Joe Treece of Rogers, Arkansas?  We are investigating allegations made by the Arkansas Securities Department and Oklahoma Securities Commission against Joe Don Treece. Arkansas barred Treece after he allegedly borrowed money from customers, …
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