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7
Jun

UPDATE! Steven Larson and Oakbridge Financial Services, Inc.

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Steven Larson and Oakbridge Financial Services, Inc.   Have you lost money with financial advisor Steven Larson of Nisswa, Minnesota?  We are investigating allegations made by the Missouri Securities Division, against Steven E. Larson, Michael Standley, and Kathryn Winter. FINRA (the Financial Industry Regulatory Authority) also recently filed a regulatory complaint against Larson, who is …
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7
Jun

WARNING! Impending Investigation: JOHN HEATH and INDEPENDENT FINANCIAL GROUP

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
John Heath and Independent Financial Group   Have you lost money with financial advisor John Heath of Bloomington, Minnesota?  We are investigating allegations made by Minnesota Department of Commerce, against John V. Heath. Minnesota is investigating Heath regarding allegations that he engaged in dishonest and deceptive activities related to client funds.  According to John Heath’s …
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2
Jun

WARNING! Impending Investigation: CHRISTOPHER TIERNAN and FARMERS FINANCIAL SOLUTIONS

WARNING! Roger Kroeger
Christopher Tiernan and Farmers Financial Solutions   Have you lost money with financial advisor Christopher Tiernan of Marshalltown, Iowa?  We are investigating allegations made by Iowa Insurance Division against Christopher J. Tiernan. Iowa alleged that Tiernan misappropriated insurance premiums from clients.  He was alleged to have deposited the premiums in his personal checking account.  Tiernan’s …
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1
Jun

WARNING! Impending Investigation: PHILIP P. WRIGHT and BROKERBANK SECURITIES

Philip P. Wright and BrokerBank Securities   Have you lost money with BrokerBank Securities, a brokerage firm based out of Eden Prairie, Minnesota?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against BrokerBank Securities and its majority owner, CEO, and Chief Compliance Officer Philip P. Wright.   FINRA brought an investigation, …
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1
Jun

WARNING! Impending Investigation: DOUGLAS SIMANSKI and NEXT FINANCIAL GROUP

INVESTOR ALERT! Cory Williams
Douglas Simanski and Next Financial Group   Have you lost money with financial advisor Douglas Simanski of Altoona, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas P. Simanski. FINRA barred Simanski from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Simanski …
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31
May

WARNING! Impending Investigation: GARY DONOVAN and SAGEPOINT FINANCIAL

INVESTOR ALERT! Richard Wesselt
Gary Donovan and Sagepoint Financial   Have you lost money with financial advisor Gary Donovan of Newark, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Gary E. Donovan. FINRA barred Donovan from the securities industry regarding allegations that he knew or should have known that he was facilitating market …
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26
May

WARNING! Impending Investigation: DANIEL MILLER and GROWTH CAPITAL SECURITIES

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Daniel Miller and Growth Capital Securities   Have you lost money with financial advisor Daniel Miller of San Francisco, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Steuer Miller. FINRA suspended Miller from the securities industry for six months after he allegedly sold $560,000 in an investment without …
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25
May

WARNING! INVESTOR ALERT: ANDREW YOCUM and MORGAN STANLEY

INVESTOR ALERT! Richard Wesselt
Andrew Yocum and Morgan Stanley   Have you lost money with financial advisor Andrew Yocum of The Villages, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Andrew Todd Yocum. FINRA barred Yocum from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Yocum …
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25
May

WARNING! Impending Investigation: FRANCISCO JAVIER SUMAVIELLE and MUREX CAPITAL

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Francisco Javier Sumavielle and Murex Capital   Have you lost money with financial advisor Francisco Sumavielle of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Francisco Javier Sumavielle. FINRA suspended Sumavielle for seven months and fined him $12,500 for borrowing $130,000 from customers of his former …
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24
May

WARNING! Impending Investigation: DAVID NEWMAN and FIRST WESTERN SECURITIES

WARNING! Roger Kroeger
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 for …
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