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21
Jul

WARNING! Impending Investigation: THOMAS GACKLE and LOWELL & COMPANY, INC.

WARNING! James Flower of SW Financial in Melville, NY
Investigation of Thomas Gackle and Lowell & Company, Inc.   Have you lost money with financial advisor Thomas Gackle of Novi, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Thomas E. Gackle. FINRA barred Gackle from the securities industry after he failed to respond to a FINRA investigation.   …
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21
Jul

WARNING! Impending Investigation: DAVID W. BRAEGER and NEWPORT COAST SECURITIES

WARNING! Jon Pariser
David W. Braeger and Newport Coast Securities   Have you lost money with financial advisor David Braeger of Irvine, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David O. Braeger. FINRA filed a complaint against Braeger, alleging that he misappropriated or stole $30,000 from a couple.   FINRA alleged …
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20
Jul

WARNING! Impending Investigation: RANDALL GLADDEN and SECURITIES EQUITY GROUP

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
Randall Gladden and Securities Equity Group   Have you lost money with financial advisor J. Randall Gladden from Aliso Viejo, California?    We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) against Randall Gladden.  FINRA alleges that Gladden sold $2.1 million worth of notes or “units” in the Church Development Fund, LLC, …
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20
Jul

UPDATE! Travis Wetzel and LPL Financial

INVESTOR ALERT! Susan Welo
Travis Wetzel and LPL Financial   Have you lost money with financial advisor Travis Wetzel from Frederick, Maryland? We are currently investigating allegations made against Travis Wetzel.  Travis Wetzel is a former LPL Financial advisor from Frederick, Maryland who was recently charged with misappropriating at least $1.2 million from an elderly client.  The U.S. Attorney’s …
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19
Jul

UPDATE! KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities

News Update: James McKinney of Cetera Advisors in Tulsa, OK
KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood, and PrimeSolutions Securities   Have you lost money in KGTA Petroleum?  We are continuing our investigation into allegations made by the FBI, IRS, and the U.S. Attorney’s Cleveland office regarding Akron, Ohio-based KGTA Petroleum.  On December 8, 2014, criminal charges were brought against KGTA Petroleum co-owner and …
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15
Jul

WARNING! Impending Investigation: GEORGE ZEDAN and LPL FINANCIAL, LLC

WARNING! James Flower of SW Financial in Melville, NY
George Zedan and LPL Financial, LLC   Have you lost money with financial advisor George Zedan of Glendale, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against George A. Zedan. FINRA recently barred Zedan from the securities industry after FINRA regarding allegations that he converted money from one of his …
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14
Jul

INVESTOR ALERT! FIRST FINANCIAL EQUITY CORPORATION

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
FINRA Files Complaint Against First Financial Equity Corporation   We are currently investigating allegations made against First Financial Equity Corporation, a Baltimore, Arizona-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against First Financial Equity Corp., making numerous allegations. FINRA alleged that First Financial Equity Corp. failed to have adequate …
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13
Jul

WARNING! Impending Investigation: LAWRENCE ROBERSON and CAPITAL CITY SECURITIES, LLC

WARNING! James Flower of SW Financial in Melville, NY
Lawrence Roberson and Capital City Securities, LLC   Have you lost money with financial advisor Lawrence Roberson of Detroit, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lawrence or “Larry” R. Roberson. FINRA barred Roberson from the securities industry after he made misrepresentations in connection with the sale of …
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12
Jul

WARNING! Impending Investigation: RUSHTON ARDREY and WELLS FARGO ADVISORS

Rushton Ardrey and Wells Fargo Advisors   Have you lost money with financial advisor Rushton Ardrey of Boston, Massachusetts?  We are investigating allegations made against Rushton L. Ardrey III. According to Rushton Ardrey’s BrokerCheck report, Ardrey has been the subject of at least four customer complaints between January 2013 and the present.  The customer complaints …
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11
Jul

WARNING! Impending Investigation: TONI CHEN and TRANSAMERICA FINANCIAL ADVISORS

INVESTOR ALERT! Richard Wesselt
Toni Chen and TransAmerica Financial Advisors   Have you lost money with financial advisor Toni Chen of Alhambra, California?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Toni Tong Chen. The SEC barred Chen from the securities industry, alleging that she participated in a pyramid scheme.   The SEC alleged …
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