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15
Dec

uFundingPortal.com EXPELLED by FINRA

WARNING! Jeffrey Hill
uFundingPortal.com Expelled by FINRA   We are currently investigating allegations made against UFP, LLC (uFundingPortal.com), a Herndon, Virginia-based online crowdfunding portal.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against UFP, alleging that it:   lacked a reasonable basis for believing that certain companies offering securities through its online crowdfunding portal had complied …
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14
Dec

INVESTMENT LOSSES–UNITED REALTY CAPITAL TRUST (FIRST CAPITAL REAL ESTATE TRUST)

INVESTOR ALERT! Cory Williams
Losses in United Realty Capital Trust, Inc./First Capital Real Estate Trust, Inc.   Have you invested in United Realty Capital Trust, Inc., now known as First Capital Real Estate Trust, Inc.?  We are investigating claims that First Capital Real Estate Trust’s adviser (who runs and operates the investment) notified its employees last week that it …
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14
Dec

WARNING! Impending Investigation: DAVID ZIER, ZAM, LLC and CITY NATIONAL SECURITIES

WARNING! Paul Mallory, Richard Cody and Jill Cody of Westminster Financial in New Jersey and Massachusetts
David Zier Suicide, ZAM LLC, and City National Securities   Have you lost money investing in ZAM LLC, a Potomac, Maryland-area based company?  Our firm is investigating allegations that David Zier, the owner and operator of ZAM, ran a fraudulent scheme or Ponzi scheme.  The CFTC (the Commodities Futures Trading Commission) recently ordered Convergent Wealth …
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12
Dec

WARNING! Impending Investigation: ANTHONY MASTROIANNI–New York, NY

INVESTOR ALERT! Cory Williams
Anthony Mastroianni, formerly of J.P. Turner and Alexander Capital, Barred by FINRA   Have you lost money with financial advisor Anthony Mastroianni of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Mastroianni, Jr. FINRA barred Mastroianni after he failed to respond to an investigation.  FINRA …
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12
Dec

WARNING! Investigation of JOHN SIMPSON–Hunt Valley, Maryland

INVESTOR ALERT! Eric Pica of Joseph Stone Capital in New York, NY
John Simpson from Hunt Valley, Maryland   Have you lost money with financial advisor John Simpson of Hunt Valley, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Simpson. FINRA barred Simpson from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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9
Dec

WARNING! Investigation of LOUISE NEALE–Atlanta, GA

WARNING! Jeffrey Hill
Louise Neale from Atlanta, Georgia   Have you lost money with financial advisor Louise Neale of Atlanta, Georgia?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Louise J. Neale. FINRA barred Neale from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Louise Neale …
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9
Dec

WARNING! Investigation of BRIAN SAK–Deerfield, IL

WARNING! Jon Pariser
Brian Sak Barred After Failing to Respond to FINRA Investigation into Sales of Pebbleford Holdings   We are currently investigating allegations made against Brian Sak, a financial advisor from Deerfield, Illinois who previously worked with Morgan Stanley.  In July 2016, FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Sak, making allegations that …
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8
Dec

UPDATE! Christopher Ariola BARRED After Selling Unsuitable Gold and Energy Stocks

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Update – Christopher Ariola Barred After Selling Unsuitable Gold and Energy Stocks   We are currently investigating allegations made against Christopher L. Ariola, a financial advisor from Santa Monica, California who previously worked with Bay Mutual Financial.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Ariola, making allegations that he made …
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