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11
Oct

UPDATE! Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial

Camarco Investments Victims Recovery
WARNING!  Lori Cousineau Weaver (Renton, Washington) and Ameriprise Financial Services   Have you lost money with financial advisor Lori Cousineau Weaver from Renton, Washington?  We are continuing our investigation allegations made against Cousineau Weaver.  The Washington Division of Securities brought a regulatory complaint against Lori Cousineau Weaver and her former brokerage firm, Ameriprise Financial Services, …
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11
Oct

INVESTOR WARNING! David Newman and First Western Securities

WARNING!  David Newman and First Western Securities   Have you lost money with financial advisor David Newman of Duncan, Oklahoma?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Perry Newman (who has no relation to attorney David Neuman from our firm). FINRA suspended David Newman from the securities industry …
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10
Oct

INVESTOR WARNING! Zachary Berkey, Four Points Capital Partners, and Excessive Trading

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
WARNING!  Zachary Berkey, Four Points Capital Partners, and Excessive Trading   Have you lost money with financial advisor Zachary Berkey of Melville, New York?  We are investigating allegations made by the Montana Securities Commission against Zachary S. Berkey.  According to the complaint filed against Berkey, Montana alleged that Berkey engaged in excessive trading with regard …
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10
Oct

UPDATE! Brian Pebley and Rainmaker Securities LLC

News Update: James McKinney of Cetera Advisors in Tulsa, OK
WARNING!  Brian Pebley and Rainmaker Securities LLC   We are currently investigating allegations made against Brian Pebley, a financial advisor from Johnstown, Colorado who previously worked with Rainmaker Securities, LLC.  The Illinois Securities Department brought a regulatory complaint against Mr. Pebley making various allegations, including that Pebley sold notes in a company called Ten X …
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10
Oct

UPDATE! Gary W. Peterson, Ameriprise Financial Services, and Excessive Trading

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Gary W. Peterson, Ameriprise Financial Services, and Excessive Trading   We are currently investigating allegations made against Gary W. Peterson, a financial advisor from Rockford, Illinois who previously worked with Ameriprise Financial Services.  The Illinois Securities Department brought a regulatory complaint against Mr. Peterson making various allegations, including that Peterson engaged in excessive trading or …
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7
Oct

UPDATE! Tobin J. Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC

News Update: James McKinney of Cetera Advisors in Tulsa, OK
Tobin J. Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC   Have you lost money with financial advisors Tobin J. Senefeld, Jeffrey B. Risinger, and Matthew D. Haab of Carmel, Indiana?  The Securities and Exchange Commission (SEC) brought a regulatory action against Senefeld, Risinger, Haab, and the companies that they were affiliated with.  …
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6
Oct

UBS FINANCIAL SERVICES ORDERED TO PAY OVER $15 MILLION BY SEC

ALERT! Curtis Ile of Sigma Financial Suspended, Mount Carmel Illinois
UBS Financial Services Ordered to Pay Over $15 Million by SEC for Reverse Convertible Notes   Have you lost money with UBS Financial Services investing in reverse convertible notes?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against UBS Financial Services.  The SEC filed a regulatory action against UBS, alleging that …
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5
Oct

INVESTOR WARNING! Jeffrey Silverman of Scottsdale, Arizona Barred By SEC

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
Jeffrey Silverman Barred by SEC   Have you lost money with financial advisor Jeffrey A. Silverman of Scottsdale, Arizona?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Jeffrey A. Silverman.  The SEC barred Silverman from the securities industry related to allegations that he manipulated the market price of the common …
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4
Oct

TRUSTMONT FINANCIAL GROUP FINED $100,000 FOR ALLEGED SUPERVISORY FAILURES

INVESTOR ALERT: Peter Bill of Trading Block (AOS) in Berlin, NH
Trustmont Financial Group Fined $100,000 For Alleged Supervisory Failures   We are currently investigating allegations made against Trustmont Financial Group, a Greensburg, Pennsylvania-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Trustmont Financial Group, making numerous allegations regarding its conduct, including: a) failed to retain business-related emails; b) failed …
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