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16
Sep

WARNING! Impending Investigation: BRIAN PEBLEY and RAINMAKER SECURITIES LLC

Brian Pebley and Rainmaker Securities LLC   We are currently investigating allegations made against Brian Pebley, a financial advisor from Johnstown, Colorado who previously worked with Rainmaker Securities, LLC.  The Illinois Securities Department brought a regulatory complaint against Mr. Pebley making various allegations, including that Pebley sold notes in a company called Ten X Holdings …
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16
Sep

WARNING! Impending Investigation: GARY W. PETERSON, AMERIPRISE FINANCIAL SERVICES, and EXCESSIVE TRADING

Gary W. Peterson, Ameriprise Financial Services, and Excessive Trading   We are currently investigating allegations made against Gary W. Peterson, a financial advisor from Rockford, Illinois who previously worked with Ameriprise Financial Services.  The Illinois Securities Department brought a regulatory complaint against Mr. Peterson making various allegations, including that Peterson engaged in excessive trading or …
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16
Sep

WARNING! Impending Investigation: JEFFREY B. RUBIN and INTERNATIONAL ASSETS ADVISORY, LLC

Jeffrey B. Rubin and International Assets Advisory, LLC Have you lost money with financial advisor Jeffrey Rubin of Fort Lauderdale, Florida?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Jeffrey Rubin.   In a recently filed complaint, the SEC alleges that Jeffrey B. Rubin was improperly reimbursed for more than $600,000 …
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10
Sep

WARNING! Impending Investigation: DAWN BENNETT and WESTERN INTERNATIONAL SECURITIES, INC.

Dawn Bennett and Western International Securities, Inc. Have you lost money with financial advisor Dawn Bennett of Washington, D.C.?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Dawn Bennett.   In a recently filed complaint, the SEC alleges that Bennett, and her company Bennett Group Financial Services, misrepresented the amount of …
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8
Sep

WARNING! Impending Investigation: ROBERT H. POTTER and CAMBRIA CAPITAL, INC.

Robert H. Potter and Cambria Capital, Inc.   Have you lost money with financial advisor Robert Potter of Salt Lake City, Utah?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert H. Potter. FINRA barred Potter from the securities industry after he failed to respond to a FINRA investigation.  FINRA …
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8
Sep

Have You Suffered Investment Losses with CHRIS YOO and SUMMIT ASSET STRATEGIES INVESTMENT MANAGEMENT?

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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3
Sep

WARNING! Impending Investigation: NORMA SKEETE and PFS INVESTMENTS

Norma Skeete and PFS Investments Have you lost money with financial advisor Norma Skeete of Camp Springs, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Norma Skeete.  FINRA alleged that Norma Skeete solicited an investor to invest $160,000 in a North Carolina real estate venture, representing that it was …
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3
Sep

WARNING! Impending Investigation: LINCOLN FINANCIAL ADVISORS CORPORATION

Lincoln Financial Advisors Corporation, Hedge Funds, and Private Placement Variable Annuities   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 sales of a …
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2
Sep

WARNING! Impending Investigation: LUCIAN D. HODGMAN and NEWPORT COAST SECURITIES, INC.

Israels & Neuman, PLC investigates LUCIAN D. HODGMAN (CRD# 1546902) and NEWPORT COAST SECURITIES, INC. of New York, New York   Have you lost money with financial advisor LUCIAN D. HODGMAN (CRD# 1546902)  or NEWPORT COAST SECURITIES, INC. (CRD# 16944) of New York, New York?  We are investigating allegations made by various state and independent …
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2
Sep

WARNING! Impending Investigation: JAMES M. CLINGENSMITH and LPL FINANCIAL, LLC

Israels & Neuman, PLC investigates JAMES M. CLINGENSMITH (CRD# 2185030) of LPL FINANCIAL LLC (CRD# 6431).   Have you lost money with financial advisor James Clingensmith (CRD# 2185030) of LPL Financial, LLC in Old Orchard Beach, Maine?  We are investigating allegations of Maine Office of Securities related to the conduct of James Clingensmith.  Mr. Clingensmith’s …
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