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11
Jul

WARNING! Impending Investigation: WINSTON TURNER, PRUCO SECURITIES, and METLIFE SECURITIES

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Winston Turner, Pruco Securities, and Metlife Securities   Have you lost money with financial advisor Winston Turner of Sarasota, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Winston W. Turner. FINRA barred Winston Turner from the securities industry after he failed to respond to a complaint that FINRA filed …
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8
Jul

WARNING! Impending Investigation: WILLIAM MULDER and MERRILL LYNCH

WARNING! Roger Kroeger
William Mulder and Merrill Lynch   Have you lost money with financial advisor William Mulder of Tulsa, Oklahoma?  We are investigating allegations made by the Oklahoma Securities Commission against William B. Mulder. Oklahoma seeks to revoke Mulder’s securities license regarding allegations that he misrepresented a variable annuity sold to customers, that he embezzled funds, that …
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6
Jul

WARNING! Impending Investigation: BRIAN LOCKETT and GENEOS WEALTH MANAGEMENT

INVESTOR ALERT! Adam Lopez and Country Capital
Brian Lockett and Geneos Wealth Management   Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington?  We are investigating allegations made against Brian J. Lockett. According to Brian Lockett’s BrokerCheck report, Lockett has been the subject of at least four customer complaints between December 2012 and the present.  The customer complaints allege …
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30
Jun

ARBITRATION AWARD AGAINST CENTAURUS FINANCIAL REGARDING REITs

INVESTOR ALERT! Cory Williams
Arbitration Award Against Centaurus Financial Regarding REITs   In Baugh v. Centaurus Financial, Inc., a family brought a claim against Centaurus Financial, alleging misrepresentations and unsuitable investment recommendations in connection with the sale of several real estate investment trusts (or REITs), including Inland American, Phillips Edison – ARC Shopping Center REIT, Carter Validus Mission REIT, …
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28
Jun

UPDATE! Patrick Mackaronis and Wells Fargo Advisors, LLC

UPDATE! Michael Dolan Suspended
Patrick Mackaronis and Wells Fargo Advisors, LLC   Have you lost money with financial advisor Patrick Mackaronis of Wayne, New Jersey?  We are investigating allegations made by the SEC (Securities and Exchange Commission) against Patrick Mackaronis. The SEC filed a complaint in the District Court of New Jersey, alleging that Patrick Mackaronis recommended investments in …
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27
Jun

WARNING! Impending Investigation: DARRIN FARROW and ROYAL ALLIANCE ASSOCIATES

Darrin Farrow and Royal Alliance Associates   Have you lost money with financial advisor Darrin Farrow of Rocky River, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Darrin B. Farrow. FINRA suspended Farrow from the securities industry for 12 months for selling investments without approval from his brokerage firm, …
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27
Jun

UPDATE! ARI Financial Services and Bridgeport Oaks Fund LLC

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
ARI Financial Services and Bridgeport Oaks Fund LLC   Have you lost money in Bridgeport Oaks Fund LLC?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against William B. Candler and ARI Financial Services.  FINRA alleges that William Candler, as the President and former Chief Compliance Officer of ARI Financial Services, …
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