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28
Sep

WARNING! Impending Investigation: MICHAEL B. PETERSEN and ACADIA CAPITAL PARTNERS LLC

Michael B. Petersen and Acadia Capital Partners LLC Have you lost money with financial advisor Michael B. Petersen?  We are investigating allegations made by the Utah Division of Securities against Michael Petersen, who previously worked as a financial advisor and investment advisor in Midvale, Utah.  The Utah Division of Securities alleged that Michael Petersen engage …
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28
Sep

WARNING! Impending Investigation: JOSEPH R. BUTLER and WOODBURY FINANCIAL SERVICES

Joseph R. Butler and Woodbury Financial Services Have you lost money with financial advisor Joseph Butler of Brandywine and Clinton, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Joseph R. Butler. FINRA barred Butler from the securities industry, concerning allegations that he stole over $170,000 from an elderly customer …
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25
Sep

WARNING! Impending Investigation: BIOCHEMICS, INC. and AMERIPRISE FINANCIAL SERVICES

BioChemics, Inc. and Ameriprise Financial Services Have you lost money investing in BioChemics, Inc.?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority) regarding the sales of BioChemics, Inc. preferred stock by financial advisors with Ameriprise Financial Services.  FINRA brought a regulatory action against John J. Kolinofsky, Jr., a supervisor and branch …
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25
Sep

WARNING! Impending Investigation: LOMBARD SECURITIES, INC. and ETFs

Lombard Securities, Inc. and ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs; b) failure to preserve …
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23
Sep

WARNING! Impending Investigation: ALDO COMUZZI and DAWSON JAMES SECURITIES

Aldo Comuzzi and Dawson James Securities Have you lost money with financial advisor Aldo Comuzzi of Boca Raton, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Aldo Comuzzi. FINRA barred Comuzzi from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Comuzzi regarding …
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22
Sep

WARNING! Impending Investigation: JEFFREY MOHLMAN and QUESTAR CAPITAL CORP.

Jeffrey Mohlman and Questar Capital Corp. Have you lost money with financial advisor Jeffrey Mohlman of Dayton, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Mohlman. FINRA barred Mohlman from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Mohlman regarding allegations …
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21
Sep

WARNING! Impending Investigation: PLAINS ALL AMERICAN PIPELINE (NYSE: PAA) and PLAINS GP HOLDINGS, L.P. (NYSE: PAGP)

Investment Losses with Kevin Jedlicka
Have you lost money in Plains All American Pipeline, L.P. (NYSE: PAA) or Plains GP Holdings, L.P. (NYSE: PAGP)?   You may be able to recover your damages.  There are lawsuits pending in the U.S. District Courts for the Central District of California and the Southern District of Texas for investors who purchased the Common …
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17
Sep

UPDATE! Investigation of JOHN C. HANSON and NORTHWESTERN MUTUAL INVESTMENT SERVICES

John C. Hanson (Spokane, Washington) and Northwestern Mutual Investment Services Have you lost money with financial advisor John C. Hanson from Spokane, Washington?  We are continuing our investigation allegations made against Hanson.  The Washington Division of Securities brought a regulatory complaint against John Hanson, alleging that he made unauthorized withdrawals and loans from customers’ accounts, …
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17
Sep

WARNING! Impending Investigation: RONALD M. BERMAN and AXIOM CAPITAL MANAGEMENT, INC.

Israels & Neuman, PLC investigates RONALD M. BERMAN of AXIOM CAPITAL MANAGEMENT, INC.   Have you lost money with financial advisor RONALD M. BERMAN (CRD# 19728) of AXIOM CAPITAL MANAGEMENT, INC. (CRD# 26580 / SEC# 8-42638) of New York, New York?  We are investigating allegations of regulatory agencies related to Ronald Berman. Ronald Berman’s CRD …
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