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4
May

MSC-BD, LLC Fined For Failure to Supervise

MSC-BD Fined For Failure to Supervise   Our law firm is currently investigating allegations made against MSC-BD, a Lake Oswego, Oregon-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against MSC, alleging that it failed to adequately supervise a registered representative.   Specifically, FINRA alleged that the representative engaged in a …
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4
May

WARNING! Impending Investigation: FORCEFIELD ENERGY, INC.

Brown paper bag with money
Losses in ForceField Energy, Inc.?   Have you lost money investing in ForceField Energy, Inc.?  The Securities and Exchange Commission (SEC) recently brought a complaint against a number of individuals who operated ForceField Energy (formerly known as SunSi Energies), as well as a number of financial advisors and stockbrokers who recommended that their customers invest …
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3
May

CP CAPITAL SECURITIES FINED $70,000 FOR PRIVATE PLACEMENT SALES

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
CP Capital Securities Fined $70,000 for Private Placement Sales   We are currently investigating allegations made against CP Capital Securities, a Miami, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CP Capital Securities, making numerous allegations regarding its conduct, including that it failed to maintain an adequate supervisory …
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3
May

WARNING! Impending Investigation: MEYERS ASSOCIATES, LP and SIGNPATH PHARMA, INC.

INVESTIGATION OF Jed Tinder
Meyers Associates, LP and SignPath Pharma, Inc.   We are currently investigating allegations made against Meyers Associates LP, a New York City-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Meyers Associates, making numerous allegations regarding its conduct, including (among other allegations): a) that it sent misleading and unbalanced …
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2
May

WARNING! Impending Investigation: DAVID MICHAEL MILLER and HUNTINGTON INVESTMENT COMPANY

David Michael Miller and Huntington Investment Company   Have you lost money with financial advisor David Miller of Columbus, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Michael Miller. FINRA barred Miller from the securities industry regarding allegations about making unsuitable investment recommendations to customers to invest in …
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29
Apr

WARNING! Impending Investigation: WORLD EQUITY GROUP and EXCESSIVE TRADING

INVESTOR ALERT! Timothy Van Lohuizen (aka Timothy Vanlohuizen of SagePoint Financial in Coeur d’Alene, Idaho
World Equity Group, and Excessive Trading   We are currently investigating allegations made against World Equity Group, an Arlington Heights, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against World Equity Group, making allegations that it failed to establish and maintain an adequate supervisory system regarding unsuitable excessive trading, …
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26
Apr

WARNING! Impending Investigation: JOHN MCKINSTRY and MOLONEY SECURITIES CO.

John McKinstry and Moloney Securities Co., Inc.   Have you lost money with financial advisor John McKinstry of St. Louis, Missouri?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John R. McKinstry, Jr. FINRA barred McKinstry from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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25
Apr

WARNING! PTX SECURITIES INVESTIGATION

INVESTOR ALERT: Peter Bill of Trading Block (AOS) in Berlin, NH
Investigation of PTX Securities   FINRA recently brought a regulatory action against a Plano, Texas-based brokerage firm named PTX Securities (“PTX”).  FINRA alleged that it failed to conduct adequate due diligence on oil and gas investments between October 2013 and January 2014.  PTX was previously known as Balanced Financial Securities.   FINRA alleged that PTX …
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24
Apr

WARNING! Impending Investigation: FRANK J. CAPUANO and ROYAL ALLIANCE ASSOCIATES, INC.

INVESTOR ALERT! Richard Wesselt
Frank J. Capuano and Royal Alliance Associates, Inc.   Have you lost money with financial advisor Frank Capuano of Holyoke, Massachusetts?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frank J. Capuano. FINRA was investigating allegations that Capuano sold $1.1 million worth of investments in Woodbridge Mortgage Investment Funds without …
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