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28
Nov

WARNING! Investigation of JAMES FONSECA–New York, NY

WARNING! James McKinney of Cetera Advisors in Tulsa, Oklahoma OK
INVESTOR WARNING!  James Fonseca from New York, New York   Have you lost money with financial advisor James Fonseca of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James L. Fonseca. FINRA barred Fonseca from the securities industry after he allegedly commingled a customer’s funds with …
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23
Nov

WARNING! Investigation of SVEN KARLEN–Lebanon, New Hampshire

INVESTOR ALERT! Parkland Securities and ETFs
INVESTOR WARNING!  Sven Karlen from Lebanon, New Hampshire   Have you lost money with financial advisor Sven Karlen of Lebanon, New Hampshire?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sven J. Karlen, Jr. FINRA suspended Karlen for six months regarding allegations that he exercised discretionary power in 21 customer …
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23
Nov

WARNING! Investigation of JOHN BURNS–Chesterfield, Missouri

INVESTOR ALERT! Parkland Securities and ETFs
INVESTOR WARNING!  John Burns from Chesterfield, Missouri   Have you lost money with financial advisor John Burns of Chesterfield, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John E. Burns. FINRA suspended Burns for 14 months regarding allegations that he exercised discretionary power in nine customer accounts without prior …
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18
Nov

WARNING! Investigation of KEVIN HUDAK–Albuquerque, NM

WARNING! Paul Mallory, Richard Cody and Jill Cody of Westminster Financial in New Jersey and Massachusetts
INVESTOR WARNING!  Kevin Hudak from Albuquerque, New Mexico   Have you lost money with financial advisor Kevin Hudak of Albuquerque, New Mexico?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin P. Hudak. FINRA barred Hudak from the securities industry after he allegedly had customers sign blank forms and then …
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18
Nov

WARNING! Investigation of EMILY THOMPSON–Wauseon, OH

WARNING! Jeffrey Hill
INVESTOR WARNING!  Emily Thompson from Wauseon, Ohio   Have you lost money with financial advisor Emily Thompson of Wauseon, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Emily M. Thompson. FINRA barred Thompson from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating …
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17
Nov

UPDATE! Investigation of BRYAN ANDERSON, TERRY BAGWELL, and PRUCO SECURITIES

WARNING! Paul Mallory, Richard Cody and Jill Cody of Westminster Financial in New Jersey and Massachusetts
INVESTOR WARNING!  Bryan W. Anderson, Terry  Bagwell and Pruco Securities LLC   We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Terry Bagwell, an advisor in Birmingham, Alabama.  Bagwell was alleged to be the supervisor designated to supervise another registered representative (Bryan Wayne Anderson) of Pruco Securities that sold $8.4 million …
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16
Nov

WARNING! Investigation of JOHN HUDNALL–San Francisco, CA

INVESTOR ALERT! William Wobbe, Hilliard Lyons in Louisville KY
INVESTOR WARNING:  John Hudnall, REITs, and Annuities   Have you lost money with financial advisor John Hudnall of San Francisco, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Hudnall. FINRA barred Hudnall from the securities industry regarding allegations that he purposely split up sales of REITs (real …
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16
Nov

WARNING! Investigation of HARRY BENNETT–New Boston, Michigan

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
INVESTOR WARNING!  Harry Bennett from New Boston, Michigan   Have you lost money with financial advisor Harry Bennett of New Boston and Woodhaven, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Harry C. Bennett. FINRA barred Bennett after he failed to respond to an investigation that he charged excessive …
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