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12
Dec

WARNING! Impending Investigation: COMPREHENSIVE ASSET MANAGEMENT & SERVICING, INC.

Comprehensive Asset Management & Servicing, Inc.   FINRA recently brought a regulatory action against a Parsippany, New Jersey-based brokerage firm named Comprehensive Asset Management and Servicing, Inc. (“CAMS”).  FINRA alleged that CAMS failed to adequately supervise a number of aspects of its firm, including a) consolidated reports; b) emails; c) private securities transactions; and d) …
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4
Dec

Israels & Neuman, PLC Investigates Summit Brokerage Services, Inc. and ETFs

Summit Brokerage Services, Inc. and ETFs   Israels & Neuman, PLC is currently investigating allegations made against Summit Brokerage Services, Inc., a Boca Raton, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Summit Brokerage Services, making numerous allegations regarding its conduct, including its failure to supervise the sale …
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24
Nov

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services

Israels & Neuman, PLC Investigates Dennis Van Patter of VSR Financial Services   Have you lost money with financial advisor Dennis Van Patter with VSR Financial Services of Plano, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, regarding Dennis Van Patter.  FINRA alleged that Van Patter recommended that one of …
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24
Nov

UPDATE! Investigation of TOBIN J. SENEFELD, JEFFREY B. RISINGER, MATTHEW D. HAAB, and FARMGROWCAP, LLC

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Tobin J. Senefeld, Jeffrey B. Risinger, Matthew D. Haab, and FarmGrowCap LLC   Have you lost money with financial advisors Tobin J. Senefeld, Jeffrey B. Risinger, and Matthew D. Haab of Carmel, Indiana?  The Securities and Exchange Commission (SEC) brought a regulatory action against Senefeld, Risinger, Haab, and the companies that they were affiliated with.  …
Read More "UPDATE! Investigation of TOBIN J. SENEFELD, JEFFREY B. RISINGER, MATTHEW D. HAAB, and FARMGROWCAP, LLC"
23
Nov

WARNING! Impending Investigation: ANTHONY CANTONE, CHRISTINE CANTONE, and CANTONE RESEARCH

INVESTOR ALERT! Frederick Holloway
Anthony  Cantone, Christine Cantone, and Cantone Research   Have you lost money investing in Polo Road Associated Living LLC, Chestnut Independent Living LLC, Highlands Assisted Living LLC, Oklahoma Operating LLC, Cedala LLC, or Arcadia Partners?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony J. Cantone, Christine L. Cantone, and …
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20
Nov

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

INVESTIGATION OF Jed Tinder
Investigation:  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 seeks to bar Zedan from the securities industry after FINRA alleged that he failed to adequately respond to …
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19
Nov

UPDATE! James B. Markoski Investigation

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
James B. Markoski   Have you lost money with financial advisor James B. Markoski?  James Markoski is a financial advisor based in Chicago, Illinois.  The Illinois Securities Department filed a complaint against Markoski on September 29, 2014, alleging fraud in connection with churning his customers’ accounts.  The Illinois Securities Department alleged that Markoski has a …
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18
Nov

WARNING! Impending Investigation: THOMAS KOLBE and FCG ADVISORS, LLC

Thomas Kolbe and FCG Advisors, LLC   Have you lost money with financial advisor Thomas Kolbe of Centennial, Colorado?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Thomas A. Kolbe.  The SEC previously barred Kolbe from the securities industry back in 2004, with a chance for reinstatement after one year, …
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18
Nov

UPDATE! The Investigation of Chris Yoo and Summit Asset Strategies Investment Management

WARNING! Brian Lockett of Geneos Wealth Management and Independent Financial Group in Lynnwood, WA
Losses with Chris Yoo and Summit Asset Strategies Investment Management?   Have you lost money investing in the Summit Stable Value Fund or the Summit Stable Opportunities Fund I?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against the investment adviser of these funds, Chris Yoo of Bellevue, Washington.  Chris Yoo owned …
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16
Nov

INVESTIGATION OF GLENN R. KING, ROYAL ALLIANCE SECURITIES, and BUCKMAN, BUCKMAN & REID

WARNING! Arthur Meunier and Arthur Breitman
Glenn R. King, Royal Alliance Securities, and Buckman, Buckman & Reid   Have you lost money with financial advisor Glenn R. King from Shrewsbury, New Jersey?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against King. FINRA alleged that Glenn King made unsuitable recommendations to his customers to switch …
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