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5
Aug

WARNING! Impending Investigation: NICK CAVAZOS and RAYMOND JAMES

Investor Alert! Gerald Roger Dewes of Cadaret Grant & Co. in East Amherst, NY
Ciro “Nick” Cavazos and Raymond James   Have you lost money with financial advisor Ciro Cavazos of Chico, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ciro “Nick” Cavazos. FINRA suspended Cavazos for three months, fined him $5,000, and ordered him to pay restitution of $7,000 for borrowing $10,000 …
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4
Aug

WARNING! Impending Investigation: KCD FINANCIAL, INC. and WRF DISTRESSED RESIDENTIAL FUND 2011

INVESTOR ALERT! Mark Flanagan and Citigroup Global Markets
KCD Financial, Inc. and WRF Distressed Residential Fund 2011   We are currently investigating allegations made against KCD Financial, Inc., a De Pere, Wisconsion-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against KCD Financial, alleging that it failed to reasonably supervise the sales of unregistered securities, in violation of …
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3
Aug

WARNING! Impending Investigation: BRIAN EGAN and INDEPENDENT FINANCIAL GROUP

INVESTOR ALERT! Arthur Hoffman of Ameriprise Financial in Glendale, AZ
Brian Egan and Independent Financial Group   Have you lost money with financial advisor Brian Egan of Laguna Niguel, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian J. Egan. FINRA barred Egan from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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2
Aug

INVESTOR ALERT! Mark Sellers Suicide, Selden Companies LLC, John Scott Elliott, and Ameriprise Financial Services

INVESTOR ALERT! Travis Hudak
Mark Sellers Suicide, Selden Companies LLC, John Scott Elliott, and Ameriprise Financial Services   Have you lost money investing in Selden Companies LLC, a Kansas City, Missouri-area based company?  Our firm is investigating allegations that Mark Sellers, the owner and operator of Selden Companies, ran a fraudulent scheme or PONZI scheme.  The FBI recently raided the …
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2
Aug

WARNING! Impending Investigation: HANK WERNER and LEGEND SECURITIES

INVESTOR ALERT! Cory Williams
Hank Werner and Legend Securities   Have you lost money with financial advisor Hank Werner of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Hank M. Werner. FINRA alleged that Werner excessively traded or churned a blind, elderly widow’s account, while Werner was associated with two …
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2
Aug

WARNING! Impending Investigation: MICHAEL BARRANCO and LPL FINANCIAL

Investor Alert! Lawrence LaBine
Michael Barranco and LPL Financial   Have you lost money with financial advisor Michael Barranco of Mobile, Alabama?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael J. Barranco. FINRA suspended Michael Barranco from the securities industry for two years regarding allegations that he sold private investments without permission from …
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26
Jul

WARNING! Impending Investigation: NATHAN SILVA and AMERITAS INVESTMENT CORP.

INVESTOR ALERT! Susan Welo
  Nathan Silva and Ameritas Investment Corp.   Have you lost money with financial advisor Nathan Silva of Omaha, Nebraska?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nathan Silva. FINRA barred Silva from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Silva …
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26
Jul

WARNING! Impending Investigation: JAMES MAHAN and J.P. MORGAN SECURITIES

James Mahan and J.P. Morgan Securities   Have you lost money with financial advisor James Mahan of New Braunfels, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James E. Mahan III. FINRA barred Mahan from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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25
Jul

WARNING! Impending Investigation: LINDA DOWD and WFG INVESTMENTS

INVESTOR ALERT! Travis Hudak
Linda Dowd and WFG Investments   Have you lost money with financial advisor Linda Dowd of Boulder, Colorado?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Linda Dowd. FINRA alleged that Dowd had her customer in New Mexico sign blank account distribution forms to effectuate future verbal requests to make …
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25
Jul

WARNING! Impending Investigation: JOHN BUONOCORE and MEYERS ASSOCIATES

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
John Buonocore and Meyers Associates   Have you lost money with financial advisor John Buonocore of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John E. Buonocore. FINRA barred Buonocore from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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