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7
Dec

MELVILLE ISLAND LLC FINED $82,500 FOR ALLEGED SUPERVISORY FAILURES

WARNING! Jon Pariser
Melville Island LLC Fined $82,500 For Alleged Supervisory Failures   We are currently investigating allegations made against Melville Island LLC, a securities brokerage firm based in the West Loop in Chicago, Illinois.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Melville Island LLC, making numerous allegations regarding its conduct, including: a) failed …
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7
Dec

WARNING! Investigation of NICK MORGAN–Ridgeland and Jackson, Mississippi

INVESTOR ALERT! Investment losses with NGL Energy in MLPs and oil and gas investments
INVESTOR WARNING!  Nick Morgan from Ridgeland and Jackson, Mississippi   Have you lost money with financial advisor Nick Morgan of Ridgeland and Jackson, Mississippi?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nick L. Morgan. FINRA suspended Morgan from the securities industry for five months and fined him $10,000 after …
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7
Dec

WARNING! Investigation of KAREN MCKINLEY–Manchester, NH

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL
INVESTOR WARNING!  Karen McKinley from Manchester, New Hampshire   Have you lost money with financial advisor Karen McKinley of Manchester, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Karen A. McKinley, formerly known as Karen Boggess. FINRA barred McKinley from the securities industry after she failed to respond …
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7
Dec

UPDATE! CHARLES FACKRELL SENTENCED TO 63 MONTHS IN PRISON

WARNING! Michael Giokas
Charles Fackrell Sentenced to 63 Months in Prison   Have you lost money with financial advisor Charles Caleb Fackrell from Yadkinville, North Carolina?  We have been investigating Charles Fackrell, after he was arrested in December 2014 for allegations that he stole at $300,000 from his clients.  Fackrell worked at Fackrell/Trivette Wealth Management in Yadkinville.   …
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2
Dec

WARNING! Investigation of ROGER ZULLO and LPL FINANCIAL–Boston, MA

INVESTOR ALERT! Cory Williams
INVESTOR WARNING!  Roger Zullo, LPL Financial LLC Sued by Massachusetts Securities Division   Have you lost money with financial advisor Roger Zullo of Boston, Massachusetts?  We are investigating allegations made by the Massachusetts Securities Division against Roger S. Zullo, an advisor at LPL Financial LLC.  LPL Financial is also based out of Boston, Massachusetts.  Massachusetts …
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2
Dec

UPDATE! Howard Richards, James Goodland, and Gatekeeper USA, Inc.

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
INVESTOR WARNING!  Howard Richards, James Goodland, and Gatekeeper USA, Inc.   Have you lost money with financial advisor Howard Richards from Mound and Plymouth, Minnesota?  We are continuing our investigation into allegations made by the Securities and Exchange Commission against Howard Richards, who previously worked as a financial advisor with Securus Wealth Management and Cambridge …
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1
Dec

UPDATE! HANK WERNER and LEGEND SECURITIES

INVESTOR WARNING!  Hank Werner and Legend Securities   Have you lost money with financial advisor Hank Werner of New York, New York?  We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Hank M. Werner and his former brokerage firm, Legend Securities. FINRA filed an amended complaint, alleging that …
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29
Nov

UPDATE! STEPHEN EUBANKS Arrested for FRAUD–Hingham, MA

WARNING! Michael Giokas
Stephen Eubanks of Hingham, Massachusetts Arrested for Fraud   Have you lost money with financial advisor Stephen Eubanks of Hingham, Massachusetts?  We are continuing our investigation into allegations regarding Stephen S. Eubanks, who was arrested on November 29, 2016.  According to the Hingham Patch, Eubanks was arrested and charged with wire fraud.   Earlier this …
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28
Nov

WARNING! Investigation of JEFFREY HILL and DOUGHERTY & COMPANY–Bemidji, Minnesota

INVESTOR ALERT! Frederick Holloway
INVESTOR WARNING!  Jeffrey Hill of Bemidji, Minnesota and Dougherty & Company, LLC   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) against Jeffrey A. Hill and his former brokerage firm, Dougherty & Company LLC.  FINRA alleged that Jeffrey …
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