SEARCH OUR BLOGS
11
Aug

WARNING! Impending Investigation: GEORGE BUSSANICH and METROPOLITAN AMBULATORY SURGICAL CENTER (MASC)

Losses with George Bussanich or Metropolitan Ambulatory Surgical Center (MASC)? Have you lost money investing in the Metropolitan Ambulatory Surgical Center (MASC) sold by George Bussanich, Jr.?  We are investing allegations made by the Securities and Exchange Commission (SEC) against Bussanich.  The SEC alleged that George Bussanich solicited investors to invest in promissory notes or …
Read More "WARNING! Impending Investigation: GEORGE BUSSANICH and METROPOLITAN AMBULATORY SURGICAL CENTER (MASC)"
7
Aug

WARNING! Impending Investigation: RICHARD ADAMS and EXCESSIVE TRADING

Rasheed “Richard” Adams, and Excessive Trading   We are currently investigating allegations made against Rasheed “Richard” Adams, a financial advisor from New York City who previously worked with Caldwell International Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Adams making various allegations, including that Adams engaged in excessive trading or …
Read More "WARNING! Impending Investigation: RICHARD ADAMS and EXCESSIVE TRADING"
7
Aug

WARNING! Impending Investigation: MICHAEL HIGHFILL and MERRILL LYNCH

Michael Highfill and Merrill Lynch Have you lost money with financial advisor Michael Highfill of Ridgeland, Mississippi?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Highfill.  Michael Highfill was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Highfill for allegations …
Read More "WARNING! Impending Investigation: MICHAEL HIGHFILL and MERRILL LYNCH"
7
Aug

WARNING! Impending Investigation: CHARLOTTE GUIN and JP MORGAN SECURITIES

Charlotte Guin and JP Morgan Securities Have you lost money with financial advisor Charlotte Guin of Houston, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charlotte A. Guin. FINRA barred Guin from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Guin regarding …
Read More "WARNING! Impending Investigation: CHARLOTTE GUIN and JP MORGAN SECURITIES"
7
Aug

Losses in Cushing Mutual Funds?

Losses in Cushing Mutual Funds? Have you lost money investing in mutual funds issued by Cushing Funds or MainStay Cushing Funds?  The Cushing Funds have invested heavily in oil and gas exploration and production throughout the U.S. and Canada.  However, with the recent downturn in the price of oil, many of the Cushing Funds have …
Read More "Losses in Cushing Mutual Funds?"
7
Aug

Canadian Investors Losing Money with American Financial Advisors

Canadian Investors Losing Money with American Financial Advisors Are you a Canadian investor who has suffered investment losses with an American financial advisor or stockbroker?  Many Canadian investors use the services of financial advisors or securities brokers who are licensed in the United States, often through FINRA (the Financial Industry Regulatory Authority), which is similar …
Read More "Canadian Investors Losing Money with American Financial Advisors"
4
Aug

WARNING! Impending Investigation: PATRICK L. GARRETT and ROBERT W. BAIRD & CO.

Patrick L. Garrett and Robert W. Baird & Co. Have you lost money with financial advisor Patrick Garrett of Nashville, Tennessee?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Patrick Garrett. FINRA barred Garrett from the securities industry regarding allegations that he verbally overstated the value of an account, which …
Read More "WARNING! Impending Investigation: PATRICK L. GARRETT and ROBERT W. BAIRD & CO."
4
Aug

WARNING! Impending Investigation: LOUIS A. TINOCO, JR. and BARCLAYS CAPITAL

Louis A. Tinoco, Jr. and Barclays Capital Have you lost money with financial advisor Louis Tinoco of Miami, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Louis A. Tinoco, Jr. FINRA barred Tinoco from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
Read More "WARNING! Impending Investigation: LOUIS A. TINOCO, JR. and BARCLAYS CAPITAL"
3
Aug

UPDATE! Investigation of DAVID J. HACKNEY and LPL FINANCIAL

David J. Hackney and LPL Financial Have you lost money with financial advisor David J. Hackney from Chicago, Illinois?  We are currently investigating allegations made by the Illinois Securities Department against David Hackney.  The Illinois Securities Department alleged that Hackney excessively traded or churned several customers’ accounts.  In June 2015, Hackney’s securities licensed was revoked …
Read More "UPDATE! Investigation of DAVID J. HACKNEY and LPL FINANCIAL"