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1
Jan

WARNING! Impending Investigation: BETSY MARCOM and NEXT FINANCIAL GROUP

Betsy Marcom and Next Financial Group   Have you lost money with financial advisor Betsy Marcom of Georgetown, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Betsy Marcom. FINRA alleged that Marcom made a number of unsuitable investment recommendations to one of her clients, a church.   Marcom was …
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1
Jan

WARNING! Impending Investigation: RANDALL GLADDEN and SECURITIES EQUITY GROUP

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
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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24
Dec

WARNING! Impending Investigation: CANTOR FITZGERALD & CO. and MICROCAP STOCKS

INVESTIGATION OF Jed Tinder
Cantor Fitzgerald & Co. and Microcap Stocks   We are currently investigating allegations made against Cantor Fitzgerald & Co., a New York City-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Cantor Fitzgerald, alleging that it failed to reasonably supervise the sales of microcap stocks, among several other allegations.  …
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24
Dec

UPDATE! Frederick E. Monroe Pleads GUILTY to Ponzi Scheme

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Albany Financial Advisor Frederick E. Monroe Pleads Guilty Running $1 Million Ponzi Scheme   Have you lost money with financial advisor Frederick E. Monroe from Albany, New York?  We are investigating allegations made by the NY Attorney General Eric T. Schneiderman against Fred Monroe.  According to the Times Union Capitol Confidential in June 2015, Monroe …
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17
Dec

Lincoln Financial Advisors Corp. FINED for Failing to Supervise Financial Advisor

Warning! Michael Collins of Robert Baird & Co in Chicago, IL
Lincoln Financial Advisors Corporation Fined for Failing to Adequately Supervise Paul A. Thomas   We are currently investigating allegations made against Lincoln Financial Advisors Corporation, a Fort Wayne, Indiana-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) filed a regulatory complaint against Lincoln Financial Advisors, alleging that it failed to adequately supervise the activities …
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17
Dec

WARNING! Impending Investigation: SAMUEL SLOANE and MORGAN STANLEY

Samuel Sloane and Morgan Stanley   Have you lost money with financial advisor Samuel W. Sloane of Fort Worth, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Samuel Sloane. FINRA barred Sloane from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Sloane …
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17
Dec

WARNING! Impending Investigation: RICK ESPARZA and PRINCOR FINANCIAL SERVICES CORP.

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
Rick Esparza and Princor Financial Services Corp.   Have you lost money with financial advisor Rick Esparza of Rancho Murieta, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Rick Esparza. FINRA barred Esparza from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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15
Dec

WARNING! Impending Investigation: PAUL GARNETT and EDWARD JONES

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
Paul Garnett and Edward Jones   Have you lost money with financial advisor Paul D. Garnett of Beatrice, Nebraska?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Paul Garnett. FINRA suspended Garnett from the securities industry for one year for selling investments in a helicopter medical evacuation company (Medevac) that …
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15
Dec

WARNING! Impending Investigation: MOLONEY SECURITIES CO. and ROBERT THEMM

Moloney Securities Co. and Robert Themm   We are currently investigating allegations made against Moloney Securities Co., Inc., a Manchester, Missouri-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Moloney Securities Co., making allegations that Moloney failed to adequately supervise one of their brokers, Robert Themm.   Robert Themm …
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