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31
Jul

WARNING! Impending Investigation: MALCOLM J. BABIN and PFS INVESTMENTS, INC.

Malcolm J. Babin and PFS Investments, Inc. Have you lost money with financial advisor Malcolm Babin of Baton Rouge, Louisiana?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Malcolm J. Babin. FINRA barred Babin from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating …
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31
Jul

WARNING! Impending Investigation: MATTHEW J. LEVITT and EQUINOX SECURITIES, INC.

Matthew J. Levitt and Equinox Securities, Inc. Have you lost money with financial advisor Matthew Levitt of Redlands, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Matthew J. Levitt. FINRA barred Levitt from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Levitt …
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30
Jul

WARNING! Impending Investigation: FRANK CHIAPPONE, ANDREW GUZZETTI, WILLIAM LEX, THOMAS E. LIVINGSTON, BRIAN T. MAYER and PHILIP RABINOVICH

Investor Alert! Fortino Rivera of Centaurus Financial in Anaheim CA is BARRED
Losses with Frank Chiappone, Andrew Guzzetti, William Lex, Thomas E. Livingston, Brian T. Mayer, and Philip Rabinovich   Have you lost money investing in the private placements sold by Frank Chiappone, Andrew Guzzetti, William Lex, Thomas E. Livingston, Brian T. Mayer, or Philip Rabinovich?  We are investing allegations made by the Securities and Exchange Commission …
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29
Jul

WARNING! Impending Investigation: CHRIS PALKOWITSH and EXCESSIVE TRADING

  Chris Palkowitsh, and Excessive Trading   We are currently investigating allegations made against Chris L. Palkowitsh, a financial advisor from Redlands, California who previously worked with Equinox Securities.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Mr. Palkowitsh and Equinox Securities making various allegations, including that a) Palkowitsh engaged in excessive …
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28
Jul

WARNING! Impending Investigation: MICHAEL J. TALIN and WOODBURY FINANCIAL SERVICES

Michael J. Talin and Woodbury Financial Services Have you lost money with financial advisor Michael J. Talin of Seal Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Michael Talin.  Michael Talin was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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25
Jul

WARNING! Impending Investigation: BRIAN M. BERGER, WELLS FARGO ADVISORS, and METLIFE SECURITIES

Brian M. Berger, Wells Fargo Advisors, and MetLife Securities Have you lost money with financial advisor Brian Michael Berger of Fort Lauderdale, Florida?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Brian Berger.  Brian Berger was barred from the securities industry after he failed to respond to a FINRA investigation.  …
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25
Jul

WARNING! Impending Investigation: JONATHAN SPENCER WILLIAMS and NYLIFE SECURITIES

Jonathan Spencer Williams and NYLife Securities Have you lost money with financial advisor Jonathan Spencer Williams of Timonium, Maryland?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jonathan Williams.  Williams was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Williams after …
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25
Jul

WARNING! Impending Investigation: LEE R. SOBEL and EQUINOX SECURITIES, INC.

Lee R. Sobel and Equinox Securities, Inc. Have you lost money with financial advisor Lee Sobel of Redlands, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Lee R. Sobel. FINRA filed a regulatory complaint seeking to bar Sobel from the securities industry after he failed to respond to a …
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25
Jul

WARNING! Impending Investigation: BESTVEST INVESTMENTS, LTD. and ETFs

BestVest Investments Ltd. and ETFs   We are currently investigating allegations made against BestVest Investments Ltd., a Media, Pennsylvania-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against BestVest Investments, alleging that they failed to establish an adequate supervisory system to supervise the sales of leveraged and inverse ETFs (also …
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24
Jul

WARNING! Impending Investigation: KENNETH HORNYAK and STIFEL NICOLAUS & CO. INC.

Kenneth Hornyak and Stifel Nicolaus & Co., Inc. Have you lost money with financial advisor Kenneth Hornyak of Traverse City, Michigan?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kenneth Hornyak.  Ken Hornyak was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was …
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