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13
Nov

WARNING! Impending Investigation: JONATHAN GREENFIELD and GWG RENEWABLE SECURED DEBENTURES

Jonathan Greenfield and GWG Renewable Secured Debentures   Have you invested in GWG Renewable Secured Debentures?  We have previously written numerous blog entries regarding actions bought by the Financial Industry Regulatory Authority (FINRA) against financial advisors and brokerage firms who recommended that their clients invest in GWG debentures, because FINRA believes that these investments are …
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6
Nov

WARNING! Impending Investigation: DONNA BEERS and TITAN SECURITIES

Donna Beers and Titan Securities   Have you lost money with financial advisor Donna Beers of Scottsdale and Fountain Hills, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Donna Kay Beers. FINRA barred Beers from the securities industry after she failed to respond to a FINRA investigation.  FINRA was …
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6
Nov

WARNING! Impending Investigation: DANIEL KASBAR and HD VEST INVESTMENT SERVICES

WARNING! Arthur Meunier and Arthur Breitman
Daniel Kasbar and HD Vest Investment Services   Have you lost money with financial advisor Daniel Kasbar of Hollywood, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel G. Kasbar. FINRA barred Kasbar from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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5
Nov

WARNING! Impending Investigation: JACOB LERMAN and UNIVEST INVESTMENTS INC.

INVESTIGATION OF Jed Tinder
Jacob Lerman and Univest Investments, Inc.   Have you lost money with financial advisor Jacob Lerman of Souderton, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jacob Lerman. FINRA barred Lerman from the securities industry after he was alleged to have forged the signature of a customer on an …
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2
Nov

WARNING! Impending Investigation: GARY ARFORD and INDEPENDENT FINANCIAL GROUP

Gary Arford and Independent Financial Group   Have you lost money with financial advisor Gary M. Arford of Lynnwood and Edmonds, Washington?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Gary Arford. The SEC alleged that Arford made misrepresentations in connection with a private fund that he managed, and that …
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2
Nov

WARNING! Impending Investigation: TRACY WENGERT and TRANSAMERICA FINANCIAL ADVISORS

Investor Alert! Charles Evan of MML Investor Services, in Wellesley, MA
Tracy Wengert and TransAmerica Financial Advisors   Have you lost money with financial advisor Tracy N. Wengert of Mesa, Arizona?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Tracy R. Wengert. FINRA barred Wengert from the securities industry, after he failed to respond to an investigation.  Wengert was being investigated …
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2
Nov

WARNING! Impending Investigation: CLIFFORD MORGAN and UHLMANN PRICE SECURITIES

Clifford Morgan and Uhlmann Price Securities   Have you lost money with financial advisor Clifford D. Morgan of Chicago, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Clifford D. Morgan. FINRA barred Morgan from the securities industry, after he failed to respond to an investigation.  FINRA was investigating Morgan …
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2
Nov

WARNING! Impending Investigation: DAVID SCHOLL and PLANMEMBER SECURITIES CORP.

INVESTIGATION OF Jed Tinder
David Scholl and PlanMember Securities Corp.   Have you lost money with financial advisor David A. Scholl of Grand Rapids, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Scholl. FINRA investigated Scholl for selling promissory notes in Mackinac Realty Group and Mackinac Advisory Services during 2011, while he …
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27
Oct

WARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

Capital Securities Management, Inc. and Reverse Convertibles   We are currently investigating allegations made against Capital Securities Management, Inc., a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Capital Securities Management, alleging that it failed to reasonably supervise the sales of reverse convertibles, among several other allegations.  …
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